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NICHOLAS STANLEY
CRD#: 5383115
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 218 SE 16TH ST.
STE. 101
AMES, IA 50010
STE. 101
AMES, IA 50010
0
Disclosures
16
Years of Experience
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State Registrations
B
Iowa 9/6/2013
IA
Iowa 9/6/2013
SRO Registrations
B
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IA
Registered with this firm since 9/6/2013
B
Registered with this firm since 9/5/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/21/2024 - 11/18/2024 | Ames, IA | |
B | 08/22/2007 - 09/05/2012 | DES MOINES, IA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.