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Nickolas Seifert
Nickolas Timothy Seifert
CRD#: 6950166
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 108 W Center Ave
Visalia, CA 93291
Visalia, CA 93291
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
Arizona 9/4/2024
B
Illinois 9/4/2024
B
California 11/22/2023
B
Oregon 2/28/2025
IA
California 11/22/2023
B
Texas 9/4/2024
B
Colorado 8/8/2024
IA
Texas 9/4/2024
B
Idaho 2/28/2025
B
Washington 1/2/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/22/2023
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Registered with this firm since 11/22/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/09/2021 - 12/01/2023 | Visalia, CA | |
B | 11/09/2021 - 12/01/2023 | LITTLETON, CO | |
IA | 12/15/2020 - 09/23/2021 | Visalia, CA | |
IA | 08/28/2019 - 06/08/2020 | VISALIA, CA | |
B | 08/28/2019 - 06/08/2020 | VISALIA, CA | |
B | 11/20/2018 - 07/03/2019 | PORTERVILLE, CA |
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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.