Franklin P. Guerrettaz
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.
Franklin Paul Guerrettaz was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1987. Franklin had worked at 6 firms and has passed the Series 63, SIE 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
April 15, 2009 - May 28, 2020
NICOL INVESTORS CORPORATION
March 23, 2007 - April 17, 2009
THE O.N. EQUITY SALES COMPANY
September 26, 2006 - December 14, 2006
SUNSET FINANCIAL SERVICES, INC.
June 30, 2006 - July 27, 2006
AMERITAS INVESTMENT COMPANY, LLC
October 28, 2005 - June 30, 2006
CARILLON INVESTMENTS, INC.
September 17, 1987 - December 31, 2004
SENTRY EQUITY SERVICES, INC.
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
NICOL INVESTORS CORPORATION
CRD#: 123111 / SEC#: , 8-65566
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOL ENTERPRISES | OWNER | |
| NICOL, KEVIN GEORGE | PRESIDENT/ACTING SECRETARY/CHIEF COMPLIANCE OFFICER | 1109527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
