Robert S. Nicks
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.
Robert Scott Nicks, who also goes by Rob Nicks, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2018 - April 2, 2018
TD AMERITRADE, INC.
March 1, 2018 - April 2, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 2, 2018
TD AMERITRADE, INC.
May 13, 2016 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 2, 2015 - February 26, 2018
SCOTTRADE, INC.
May 8, 2013 - May 6, 2014
NYLIFE DISTRIBUTORS LLC
March 22, 2010 - April 17, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
July 25, 2006 - July 30, 2009
MML DISTRIBUTORS, LLC
April 8, 2004 - November 30, 2004
VP DISTRIBUTORS LLC
June 13, 2003 - February 9, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 11, 2003 - April 23, 2004
PRUCO SECURITIES, LLC.
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
November 2, 2000 - January 14, 2003
PGIM INVESTMENTS LLC
July 16, 1997 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 1, 1983 - August 11, 1997
PRUCO SECURITIES, LLC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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