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PN

Paul N. Nicholson

Some features on this profile are disabled
CRD#: 1384330
PN

Professional summary

Paul Nicholas Nicholson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Paul had worked at 5 firms, which includes MACARTHUR STRATEGIES INC., BROKERS INVESTMENT CORPORATION, THE CAMDEN GROUP, BLASANNE INC., CHRISTOPHER WEIL & COMPANY INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 25, 1990 - December 11, 2009

MACARTHUR STRATEGIES, INC.

BD
CRD#: 20678
IRVINE, CA
Past

January 9, 1990 - September 21, 1990

BROKERS INVESTMENT CORPORATION

BD
CRD#: 16607
CANOGA PARK, CA
Past

April 15, 1988 - November 21, 1989

THE CAMDEN GROUP

BD
CRD#: 21386
Past

January 1, 1987 - April 14, 1988

BLASANNE, INC.

BD
CRD#: 16647
Past

July 24, 1986 - October 6, 1986

CHRISTOPHER WEIL & COMPANY, INC

BD
CRD#: 6566

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/11/1985
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 12/22/1987
Direct Participation Programs Principal Examination

Current Firm

MS
MACARTHUR STRATEGIES, INC.
BROKERS FIRST FINANCIAL CORP. | WELLINGTON FIRST SECURITIES, INC. | TREMAN FIRST SECURITIES, INC. | MACARTHUR STRATEGIES, INC.

CRD#: 20678 / SEC#: , 8-38402

BD
Terminated by SEC on 02/06/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 08/04/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICHOLSON, PAUL NICHOLASCHIEF COMPLIANCE OFFICER
NICHOLSON, PAUL NICHOLASPRESIDENT

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

MACARTHUR STRATEGIES, INC.

CRD#: 20678

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