Nicole Rene Levesque (CRD #7860009) Has a Termination and Criminal Disclosure on FINRA BrokerCheck

Nicole Rene Levesque (CRD #7860009) was previously registered with Fidelity Brokerage Services LLC. Her FINRA BrokerCheck report reflects two disclosure events. We reviewed it on February 25, 2026.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Nicole Levesque’s FINRA BrokerCheck report reflects one employment separation disclosure. A summary of the disclosure is below:

On November 4, 2025, Fidelity Brokerage Services LLC discharged Nicole Levesque. The firm reported that she used the firm’s systems to place two transactions in her son’s account without required approvals on file with the firm. In a BrokerCheck comment, Levesque said the trades were requested by her son and were placed in an unsolicited manner.

Criminal Charges

Nicole Levesque’s FINRA BrokerCheck report reflects one criminal disclosure. A summary is below:

On August 4, 2015, Levesque was charged in Harnett District Court in Lillington, North Carolina, with a misdemeanor offense listed as “Simple Worthless Check (2666).” FINRA BrokerCheck lists the disposition as dismissed on November 5, 2015.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 is a broad conduct rule. It requires firms and associated persons to observe high standards of commercial honor. Issues involving improper use of firm systems can raise questions about whether those standards were met.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to establish and enforce written supervisory procedures. It also requires oversight of associated persons’ activities. When a firm identifies an issue with account activity, investors often ask how the activity was supervised and reviewed.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Nicole Levesque:

Is not currently registered with a securities firm.

Has passed the Securities Industry Essentials (SIE) exam. Nicole Levesque has passed Series 7TO and Series 63.

Was previously registered with Fidelity Brokerage Services LLC.

Kurta Law Can Help

If you have worked with Nicole Levesque and you have concerns about your investments, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unauthorized Trading | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.