Nicole Bolton Resigns from Northwestern Mutual Investment Services

Nicole Bolton (CRD #: 7279951), a broker formerly registered with Northwestern Mutual Investment Services, allegedly engaged in an outside business activity in an unapproved way, according to her BrokerCheck record, accessed on April 13, 2023. Keep reading to learn more about her alleged conduct as a broker.

Resignation from Northwestern Mutual Investment Services

On February 10, 2023, Nicole Bolton resigned from Northwestern Mutual Investment Services after allegedly engaging in an outside business activity in ways beyond what the firm had previously approved.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to inform their firm and receive approval for any business activities they engage in outside their firm.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Other Business Activities

Nicole Bolton’s detailed BrokerCheck report lists one outside business activity: she is the owner of Charlie on Park, a multifamily real estate property in Idaho.

Background Information

Nicole Bolton has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• Series 6TO – Investment Company Products/Variable Contracts Representative Examination
• SIE – Securities Industry Essentials Examination

She previously worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Nicole Bolton and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.