Nicole Briggs, financial advisor Springfield OH
83 score

Nicole Briggs

CRD Number: 4429143
Current Firm: Fifth Third Securities, Inc.

Nicole Briggs (CRD# 4429143) is an Investment Advisor Representative working at Fifth Third Securities, Inc. in Springfield, OH and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Fifth Third Securities Dayton, OH Jan 2010 - Current 6
Unemployment Cincinnati, OH Jul 2009 - Jan 2010 < 1
Fifth Third Securities Cincinnati, OH Jun 2002 - Jul 2009 7
Fifth Third Securities Cincinnati, OH Jun 2002 - Jul 2009 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2001
S66 NASAA Uniform Combined State Law Examination Nov 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Nicole M. Briggs
Phone Number: 888-889-1025
Firm Website: http://www.53.com
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    813
    MILLIONS
  • Total Number of Accounts
    4,744
    ACCOUNTS
  • Average Account Value
    $171,395
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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