Nichole Raftopoulos has been Chief Executive Officer & Chief Compliance Officer of Nvest Financial since June 2003, is a control person of the firm and directly owns between 50% and 75% of it.
Nvest Financial, LLC is a Portsmouth, NH firm with $688M under management, 809 clients and 5 advisers across 4 offices, as of its August 2026 filing.
Nichole Raftopoulos’ longest registration was 18 years at Commonwealth Financial Network (2003–2022). Before joining Nvest Financial in 2008, Nichole Raftopoulos was registered through Commonwealth Financial Network.
- Commonwealth Financial Network– · 18 yearsKennebunk, ME · Adviser representative · Firm CRD 8032
Investment adviser representative registrations
Nichole Raftopoulos is registered as an investment adviser representative in 4 states. The first approvals date from February 2008; the most recent is Texas, in August 2022.
- MaineSince 6 February 2008
- MassachusettsSince 4 January 2021
- New HampshireSince 19 March 2012
- TexasSince 3 August 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 8 May 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 March 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 February 1996 |
| Series 7 | General Securities Representative Examination | 9 February 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nichole Demetria Raftopoulos
- CRD
- 2685964
- Firm
- Nvest Financial · CRD 128868
- Role
- Chief Executive Officer & Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nichole Raftopoulos work?
Nichole Raftopoulos has been Chief Executive Officer & Chief Compliance Officer of Nvest Financial, LLC since June 2003, and is a control person of the firm.
Is Nichole Raftopoulos a financial advisor?
Yes. Nichole Raftopoulos has a current investment-adviser registration in Maine, Massachusetts, New Hampshire and Texas, through Nvest Financial since February 2008.
How many years of experience does Nichole Raftopoulos have?
Nichole Raftopoulos has 30 years in the financial industry, since February 1996, across 2 adviser firms.
What exams has Nichole Raftopoulos passed?
Nichole Raftopoulos has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 24. The earliest, the Series 7, was passed in February 1996. FINRA credited Nichole Raftopoulos with the SIE, which began in October 2018.
Is Nichole Raftopoulos registered with FINRA?
Yes. Nichole Raftopoulos has a current broker registration, under CRD 2685964.
Source: FINRA BrokerCheck
How can I verify Nichole Raftopoulos’ record?
Search CRD 2685964 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nichole Raftopoulos’ full registration record.
