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Information

Other Names: Nick Aberegg
Firm:
Type: Dual Registration
Description

Nicholas Aberegg is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,600 registered representatives nationwide. Nicholas has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Nicholas Lee Aberegg has not answered any questions on Financial Q&A.

Top Guides

Nicholas Lee Aberegg has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
AXA Advisors, LLC 6 years, 7 months Sep 2007 - Present
Axa Advisors 2 months May 2006 - Jul 2006
Sears Holding 8 months Apr 2006 - Dec 2006
West Virginia University 3 years, 7 months May 2004 - Dec 2007
Musselman High School 4 years, 8 months Sep 1999 - May 2004
Stoney Lane Farm 6 years, 8 months Jan 1998 - Sep 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/12/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
04/12/2012
08/13/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 10/29/2007
General Securities Representative Examination Series 7 06/14/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees