Robert L. 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.
Robert Leddelle Nichols, who also goes by Bob Nichols, Robert L Nichols, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - December 31, 2012
FIRST INDEPENDENT ADVISORY SERVICES, INC.
January 3, 2007 - December 31, 2012
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
August 30, 2005 - December 31, 2006
WFG ADVISORS, LP
January 3, 2001 - December 31, 2006
WFG INVESTMENTS, INC.
November 16, 1998 - December 31, 2000
VSR FINANCIAL SERVICES, INC.
June 11, 1996 - November 20, 1998
1717 CAPITAL MANAGEMENT COMPANY
August 8, 1994 - June 25, 1996
BMA FINANCIAL SERVICES, INC.
December 8, 1993 - August 9, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 11, 1984 - July 27, 1994
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CRD#: 132678 / SEC#:
Contact information
Red Flags
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