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Inactive

Nicole Roxanne Joko

Cerity Partners LLC

Costa Mesa, CA

New York, NY

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Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2013-02-13
TX RA APPROVED 2013-02-13
  • CA RA
    APPROVED
    Since 2013-02-13
  • TX RA
    APPROVED
    Since 2013-02-13

Branch Locations

600 Anton Boulevard Suite 1240, Costa Mesa, CA 92626 • United States

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hpm Partners Llc Costa Mesa CA 11/2012 12/2018
Cerity Partners Llc New York NY 01/2019 03/2024
Cerity Partners Llc New York NY 04/2024 Present
Previous Registrations
  • 2006-11-16 → 2012-11-16
    Mullintbg Advisors
    Irvine, CA
  • 2005-03-07 → 2007-04-26
    Tbg Advisory Services Corporation
    Newport Beach, CA
  • 2006-06-01 → 2006-11-07
    M Holdings Securities, Inc.
    Newport Beach, CA
    Irvine, CA
    Los Angeles, CA
    Irvine, CA
  • 2001-06-20 → 2004-10-28
    Goldman Sachs Wealth Services, L.P.
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-04
  • S66 Uniform Combined State Law Examination
    2001-06-04
Designations
Other Names
  • Nicole Roxanne Yee
  • Nicole Roxanne Yee

View on SEC IAPD

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GERALD LAWRENCE LARR
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PETER CHARLES HOLLIDAY
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RANA MAIDA
BRYAN BARRETT KIERNAN

Other Offices

EDELMAN FINANCIAL ENGINES · COSTA MESA, CA
FIFTH THIRD SECURITIES, INC. · COSTA MESA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Costa Mesa, CA
CHECK CAPITAL MANAGEMENT INC · COSTA MESA, CA
CHECK CAPITAL MANAGEMENT INC · COSTA MESA, CA
OSAIC WEALTH, INC. · COSTA MESA, CA
CETERA INVESTMENT ADVISERS LLC · COSTA MESA, CA
SOVRAN ADVISORS, LLC · Costa Mesa, CA

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