Joseph G. Nicks
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.
Joseph Glenn Nicks was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 6 firms and has passed the Series 63 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
July 24, 2002 - March 31, 2012
W. H. COLSON SECURITIES, INC.
January 22, 2002 - July 23, 2002
NORTHEAST SECURITIES, LLC
January 3, 1997 - December 31, 2001
INVESTORS CAPITAL CORP.
June 1, 1996 - December 31, 1996
WALNUT STREET SECURITIES, INC.
January 6, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
February 25, 1989 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
December 4, 1985 - February 15, 1989
PFS INVESTMENTS 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
W. H. COLSON SECURITIES, INC.
CRD#: 117789 / SEC#: , 8-53621
Contact information
Documents
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.
