Nicole Alexander has been Chief Compliance Officer of Gradient Investments since July 2018, is not listed as a control person, but directly owns under 5% of the firm. Nicole Alexander holds a Bachelor of Science in business management with a minor in finance from the University of Minnesota, Carlson School of Management.
Gradient Investments, LLC is an Arden Hills, MN firm with $8.84B under management, 26,806 clients and 15 advisers in one office, as of its September 2026 filing.
Nicole Alexander is Chief Compliance Officer of Gradient Investments. She oversees the firm's compliance and supervisory responsibilities, including its internal policies, procedures and standards of conduct relative to SEC regulations. She has also served as Assistant Portfolio Manager for a Registered Investment Advisor in the Twin Cities area, with duties that involved portfolio analysis, client and advisor support, and trading.
- Gradient Investments, LLCCurrent– present · 16 yearsArden Hills, MN · Adviser representative · Firm CRD 141726
Investment adviser representative registrations
Nicole Alexander is registered as an investment adviser representative in Minnesota, since November 2013.
- MinnesotaSince 4 November 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 March 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicole Shelton Alexander
- CRD
- 4249833
- Firm
- Gradient Investments · CRD 141726
- Role
- Chief Compliance Officer
- Office
- 4105 LEXINGTON AVENUE NORTH, SUITE 250, Arden Hills, MN 55126
- Registration
- Investment adviser registration
- In the industry since
- March 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- gradientinvestments.com
Where does Nicole Alexander work?
Nicole Alexander has been Chief Compliance Officer of Gradient Investments, LLC since July 2018.
Is Nicole Alexander a financial advisor?
Yes. Nicole Alexander has a current investment-adviser registration in Minnesota, through Gradient Investments since January 2012.
How many years of experience does Nicole Alexander have?
Nicole Alexander has 16 years in the financial industry, since March 2010, across 1 adviser firm.
What exams has Nicole Alexander passed?
Nicole Alexander passed the Series 65 in March 2010.
Where is Nicole Alexander based?
Nicole Alexander’s registered office is in Arden Hills, MN.
Is Nicole Alexander registered with FINRA?
No. Nicole Alexander has no current broker registration.
How can I verify Nicole Alexander’s record?
Search CRD 4249833 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicole Alexander’s full registration record.
