Hugh E. Nichols
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Hugh Edward Nichols was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1982. Hugh had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - December 31, 2016
BEAM WEALTH ADVISORS, INC.
July 9, 2015 - December 31, 2016
SECURITIES AMERICA, INC.
September 8, 2009 - July 21, 2015
LPL FINANCIAL LLC
September 8, 2009 - July 21, 2015
LPL FINANCIAL LLC
May 26, 2004 - September 8, 2009
MUTUAL SERVICE CORPORATION
January 4, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 3, 1997 - January 15, 2002
OPPENHEIMER & CO. INC.
February 10, 1995 - March 19, 1997
UBS FINANCIAL SERVICES INC.
June 6, 1994 - April 27, 1995
MARK TWAIN BROKERAGE SERVICES, INC.
February 16, 1994 - March 31, 1994
MARK TWAIN BROKERAGE SERVICES, INC.
May 3, 1991 - February 16, 1994
DAIN RAUSCHER INCORPORATED
August 16, 1985 - May 8, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1983 - August 2, 1985
IAC SECURITIES, INC.
May 11, 1983 - August 26, 1983
AMERIPRISE ADVISOR SERVICES, INC.
October 20, 1982 - May 3, 1983
BROKER DEALER FINANCIAL SERVICES CORP.
Primary Firm SEC Registration
BEAM WEALTH ADVISORS, INC.
CRD#: 109867 / SEC#: 801-60334
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BEAM WEALTH ADVISORS, INC.
CRD#: 109867 / SEC#: 801-60334
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,006 |
| AUM (Assets Under Management) | $ 1,314,316,357 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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