Douglas 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.
Douglas Rockwell Nichols was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 53, Series 27, Series 4 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
May 29, 1992 - January 5, 2015
FIRST LONDON SECURITIES CORPORATION
August 6, 1990 - June 5, 1992
MOMENTUM INDEPENDENT NETWORK INC.
March 20, 1989 - August 10, 1990
CITIGROUP GLOBAL MARKETS INC.
November 21, 1986 - April 7, 1989
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
Series 55
Date: 10/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIRST LONDON SECURITIES CORPORATION
CRD#: 29709 / SEC#: , 8-44399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DGN SECURITIES | SHAREHOLDER | |
| NICHOLS, DOUGLAS ROCKWELL | CEO, CFO, COO, SROP,CROP, DIRECTOR | 1584810 |
| TAYLOR, DEBRA JEAN | CORPORATE SECRETARY, DIRECTOR, CCO |
Disclosures
| Regulatory Event | 6 |
Red Flags
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