Nikki Polistina has been an investment adviser representative at Transce3nd since April 2026, and is not listed among the firm’s executive officers or direct owners.
Transce3nd LLC is a Buda, TX firm with $419M under management, 1,620 clients and 42 advisers across 17 offices, as of its May 2026 filing.
Nikki Polistina’s longest registration was 7 years at Stableford Capital LLC (2018–2026). Before joining Transce3nd in 2026, Nikki Polistina was registered through Stableford Capital LLC and Charles Schwab & Co., Inc.
- Transce3nd LLCCurrent– present · under a yearScottsdale, AZ · Adviser representative · Firm CRD 317745
- Stableford Capital LLC– · 7 yearsScottsdale, AZ · Adviser representative · Firm CRD 173383
- Charles Schwab & Co., Inc.– · 2 yearsPhoenix, AZ · Adviser representative · Firm CRD 5393
- Schwab Private Client Investment Advisory, Inc.– · 1 yearPhoenix, AZ · Adviser representative · Firm CRD 159035
- Girard Partners LTD.– · 1 yearKing of Prussia, PA · Adviser representative · Firm CRD 39163
- Girard Partners LTD.– · 4 yearsKing of Prussia, PA · Adviser representative · Firm CRD 39163
- Ameriprise Financial Services, Inc.– · under a yearW. Conshohocken, PA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Nikki Polistina is registered as an investment adviser representative in Arizona, since April 2026.
- ArizonaSince 9 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 9 July 2013 |
| Series 66 | Uniform Combined State Law Examination | 9 September 2005 |
| Series 7 | General Securities Representative Examination | 19 July 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nikki Kay Polistina
- CRD
- 4957185
- Firm
- Transce3nd · CRD 317745
- Office
- 16220 N Scottsdale Road, Suite 440, Scottsdale, AZ 85254
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nikki Polistina work?
Nikki Polistina is an investment adviser representative registered through Transce3nd LLC since April 2026, and is not listed among the firm’s executive officers or direct owners.
Is Nikki Polistina a financial advisor?
Yes. Nikki Polistina has a current investment-adviser registration in Arizona, through Transce3nd since April 2026.
How many years of experience does Nikki Polistina have?
Nikki Polistina has 20 years in the financial industry, since April 2006, across 6 adviser firms.
What exams has Nikki Polistina passed?
Nikki Polistina has passed 3 licensing exams: the Series 7, Series 66 and Series 63. The earliest, the Series 7, was passed in July 2005. FINRA credited Nikki Polistina with the SIE, which began in October 2018.
Where did Nikki Polistina work before Transce3nd?
Before Transce3nd, Nikki Polistina was registered through Charles Schwab & Co., Inc., May 2015 to April 2018; Schwab Private Client Investment Advisory, Inc., May 2013 to May 2015; Girard Partners LTD., May 2011 to May 2013; Girard Partners LTD., May 2006 to December 2010; Ameriprise Financial Services, Inc., September 2005 to April 2006.
Where is Nikki Polistina based?
Nikki Polistina’s registered office is in Scottsdale, AZ.
Is Nikki Polistina registered with FINRA?
Yes. Nikki Polistina has a current broker registration, under CRD 4957185.
Source: FINRA BrokerCheck
How can I verify Nikki Polistina’s record?
Search CRD 4957185 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nikki Polistina’s full registration record.
