John R. 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.
John Russell Nichols, who also goes by Johnny Nichols, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2007 - January 27, 2025
THE LEADERS GROUP, INC.
October 13, 2003 - December 31, 2006
PARK AVENUE SECURITIES LLC
October 7, 2002 - December 31, 2006
PARK AVENUE SECURITIES LLC
February 1, 2001 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
February 1, 2001 - September 13, 2002
ONEAMERICA SECURITIES, INC.
March 14, 1997 - January 23, 2001
NEW ENGLAND SECURITIES
August 25, 1986 - March 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 25, 1986 - March 14, 1997
EQUITABLE ADVISORS, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
