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Two International Drive Suite 110, Portsmouth, NH 03801 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-03 |
| MA | RA | APPROVED | 2021-01-04 |
| NH | RA | APPROVED | 2012-03-19 |
| ME | RA | APPROVED | 2008-02-06 |
Branch Locations
Two International Drive Suite 110, Portsmouth, NH 03801 • United States
48 Free Street Suite 200, Portland, ME 04101 • United States
69 York Street Suite 1, Kennebunk, ME 04043 • United States
222 Rosewood Drive Suite 310, Danvers, MA 01923 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 06/2003 | 08/2025 |
| Nvest Financial, Llc | Portsmouth | NH | 06/2003 | 08/2025 |
| Nvest Financial, Llc | Portland | ME | 08/2025 | Present |
| Pks Investments | Albany | NY | 08/2025 | Present |
1. Nichole Raftopoulos is dually registered as an Investment Advisor Representative with Nvest Financial LLC ("Nvest") and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS"). Business is conducted from 2 International Dr, Suite 110, Portsmouth, NH 03801. Approximately 90% of Ms. Raftopoulos' time is for services under Nvest, and the balance is as a Registered Representative of PKS. 2. Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. Start date: 08/2025. 5 hrs/month; all during trading hours. Provide insurance advice based on the needs of client(s). 3. Nikoletta, LLC. Not investment related. 69 York Street, Kennebunk, ME 04043. Real estate rental. LLC Member. Start date: 02/2007. 1 hr/month; not during trading hours. Entity created to own our commercial condo. 4. Operation Love From Home. Not investment related. 2 International Drive, Suite 110, Portsmouth, NH 03801. Non-profit. Owner. Start date: 03/2022. 2 hrs/month; 1 during trading hours. Co-founder and President. Collect donations of goods or money to gift to those in need including Food Insecurity, Pet Support, helping active military/veteran's and families. 5. Deep Blue C Studio Orchestra. Not investment related. 26 Signature Drive, Rye, NH 03870. Musician. Singer. Start date: 07/2019. 10 hrs/month; none during trading hours. I am a singer with this stage orchestra. We perform about 10-15 concerts per year and rehearse once per month on average. 6. Kennebunk Savings Bank. Not investment related. 7 Alewive Park, West Kennebunk, ME 04043. Board of Directors. Board Member. Start date: 07/2024. 8 hrs/month; 6 during trading hours. I am a Board of Director with Kennebunk Savings Bank. We set policy for the bank, review bank audits, oversee management, etc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-16 |
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