Nicole Shao is a registered investment advisor, based in Pasadena, CA, with 10 years of industry experience.
Location
135 N Los Robles Avenue, Pasadena, CA, 91101
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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.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2025 - Present · 1 yr 1 mo
Cetera Investment Services LLCBroker
April 2025 - Present · 1 yr 1 mo
Previous Registrations
City National Securities, INC.
February 2023 - April 2025 · 2 yrs 2 mos
City National Securities, INC.Broker
February 2023 - April 2025 · 2 yrs 2 mos
J.P. Morgan Securities LLCBroker
May 2015 - February 2023 · 7 yrs 9 mos
State Registrations1 state
CA
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.