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Nicholas Lee Aberegg

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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 5,550 registered representatives nationwide. Nicholas has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
AXA Advisors, LLC 6 years, 12 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
Stoney Lane Farm 6 years, 8 months Jan 1998 - Sep 2004
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 10/29/2007
General Securities Representative ExaminationSeries 7 06/14/2007

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/20/2014
05/10/2014
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees