Thomas M. 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.
Thomas Michael Nichols, who also goes by Tom Nichols, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2023 - April 10, 2025
GROW WITH ME
June 30, 2010 - February 28, 2024
NICHOLS INVESTMENT ADVISORS
September 12, 1997 - March 14, 2005
FSC SECURITIES CORPORATION
July 28, 1997 - December 13, 2011
FSC SECURITIES CORPORATION
March 5, 1996 - March 17, 1997
STEPHENS
July 22, 1992 - February 29, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 22, 1992 - February 29, 1996
EQUITABLE ADVISORS, LLC
October 26, 1988 - March 13, 1991
GFONG ASSOCIATES, INC.
November 22, 1983 - November 15, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
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
GROW WITH ME
CRD#: 299304 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 264 |
| AUM (Assets Under Management) | $ 57,107,190 |
Red Flags
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