John C. Nicholson
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.
John Cullen Nicholson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
April 30, 2014 - April 28, 2017
CITICORP SECURITIES SERVICES, INC.
June 29, 2010 - April 28, 2017
CITIGROUP GLOBAL MARKETS INC.
September 22, 2008 - April 9, 2010
BARCLAYS CAPITAL INC.
November 24, 1993 - September 22, 2008
LEHMAN BROTHERS 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
CITICORP SECURITIES SERVICES, INC.
CRD#: 15387 / SEC#: , 8-32117
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER | 5659131 |
| BROPHY, RYAN JAMES | CCO | 2668207 |
| CONWAY, JOHN JAMES | CHIEF FINANCIAL OFFICER (FINOP) | 1584619 |
| LARA, PABLO I | DIRECTOR | 5398044 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | DIRECTOR | 7545656 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | CHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT | 7545656 |
| WADE, WILLIAM THOMAS | DIRECTOR | 2095481 |
Disclosures
| Regulatory Event | 2 |
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.
