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Nicholas Lee Aberegg

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Other Names: Nick Aberegg
Type: SEC and FINRA Registered

Nicholas Aberegg is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,250 registered representatives nationwide. Nicholas has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
AXA Advisors, LLC 8 years, 1 month 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
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 10/29/2007
General Securities Representative ExaminationSeries 7 06/14/2007

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

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

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees