NT
NT

Nicole Trottier-Rogers

24 Years of Experience
Portland, ME
Broker

Nicole Trottier-Rogers is a registered investment advisor at Raymond James & Associates, INC., based in Portland, ME, with 24 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

Two Portland Square, 7th Floor, Portland, ME, 04101

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 2 mos
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 2 mos
Raymond James & Associates, INC.Broker
March 2016 - Present · 10 yrs 2 mos
Previous Registrations
Cetera Investment Advisers LLC
January 2014 - March 2016 · 2 yrs 2 mos
Cetera Investment Services LLCBroker
June 2011 - March 2016 · 4 yrs 9 mos
Cetera Investment Services LLC
June 2011 - January 2014 · 2 yrs 7 mos
TD Wealth Management Services INC.Broker
November 2009 - July 2010 · 8 mos
TD Wealth Management Services INC.
November 2009 - May 2010 · 6 mos
Primevest Financial Services, INC.
September 2005 - November 2009 · 4 yrs 2 mos
Bancnorth Investment Group, INC.Broker
September 2005 - November 2009 · 4 yrs 2 mos
UBS Financial Services INC.
June 2003 - September 2005 · 2 yrs 3 mos
UBS Financial Services INC.Broker
June 2003 - September 2005 · 2 yrs 3 mos
Morgan Stanley Dw INC.Broker
June 2000 - May 2003 · 2 yrs 11 mos
State Registrations5 states
CAFLMAMEVA
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.