NH
NH
Nicole Harris
30 Years of Experience
Lexington, KY
5 DisclosuresBroker
Nicole Harris is a registered investment advisor at Raymond James & Associates, INC., based in Lexington, KY, with 30 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
489 East Main, Lexington, KY, 40507
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2012Denied
Customer Dispute
October 2009Denied
Customer Dispute
June 2009Settled
Customer Dispute
February 2009Settled
Customer Dispute
November 2003Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan Keegan & Company, INC.
April 2012 - February 2013 · 10 mos
Morgan Keegan & Company, INC.Broker
April 1999 - February 2013 · 13 yrs 10 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
December 1995 - April 1999 · 3 yrs 4 mos
State Registrations14 states
ALAZCACOCTFLGAINKYORPASCTNVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.