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Nicole Bailey: $100K-$500K Complaint Against RBC Advisor

A recent investor complaint against Denver financial advisor Nicole Bailey (CRD# 7016719) alleges that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with RBC Capital Markets.

Ms. Bailey’s BrokerCheck report discloses one investor complaint. Filed in December 2023, it alleges that as a representative of RBC Capital Markets, she recommended unsuitable investments in mortgage-backed securities. The pending complaint alleges damages between $100,000 and $500,000.

RBC Wealth Management’s website includes a profile of Ms. Bailey. “Nicole brings a broad background in community management in the Atlanta and Denver areas to her role in wealth management,” it states. “She actively volunteers with the Rocky Mountain Chapter of Community Associations Institute. Her comprehensive approach to planning includes incorporating client values into thoughtful strategies and dynamic solutions offering both flexibility and stability.”

Elsewhere, the firm describes its approach to wealth management. “As a client of RBC Wealth Management,” it explains, “you’ll be working with a company with deep resources, a reputation for putting the interests of clients ahead of our own and a passion for helping transform the lives of the people we serve through customized wealth planning.”

Other current or former RBC Capital Markets advisors to receive investor complaints include Leslie Lauer, Martin Klein and William Notrica.

According to the Financial Industry Regulatory Authority, Nicole Bailey holds five years of securities industry experience. Based in Denver, Colorado, she has been registered as a broker and an investment advisor with RBC Capital Markets since 2018. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Colorado, Delaware, the District of Columbia, Georgia, Idaho, Illinois, Maryland, Montana, Nebraska, Nevada, New Mexico, Oregon, Tennessee, Texas, Utah, Virginia, and Washington. (Information current as of January 30, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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