Joseph J. Nicols
Professional summary
Joseph James Nicols III, who also goes by Joe James Nicols III, Joseph James Nicols, is a registered financial professional currently at TRUSTMONT FINANCIAL GROUP, INC. located in Greensburg, Pennsylvania.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 21 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph James Nicols III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2020 - Present
TRUSTMONT FINANCIAL GROUP, INC.
Office #1: Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601October 14, 2019 - December 5, 2019
WOODSTOCK FINANCIAL GROUP, INC.
September 25, 2017 - January 25, 2018
SOUTHEAST INVESTMENTS, N.C., INC.
July 18, 2014 - September 24, 2015
SECURITIES AMERICA, INC.
July 3, 2014 - August 7, 2014
ADIRONDACK TRADING GROUP LLC
January 28, 2010 - June 9, 2014
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
March 10, 2008 - February 11, 2010
AMERICAN CAPITAL PARTNERS, LLC
August 22, 2005 - February 24, 2006
GUNNALLEN FINANCIAL, INC
January 10, 2005 - May 4, 2005
R.M. STARK & CO., INC.
October 5, 2004 - November 1, 2004
MILESTONE FINANCIAL SERVICES, INC.
August 5, 2003 - October 1, 2004
J.P. TURNER & COMPANY, L.L.C.
July 22, 2003 - August 7, 2003
WOODSTOCK FINANCIAL GROUP, INC.
October 14, 2002 - July 10, 2003
AMERICAN CAPITAL PARTNERS, LLC
September 4, 2002 - November 4, 2002
KIRLIN SECURITIES INC.
June 27, 2001 - September 5, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 8, 1998 - July 10, 2001
BOLTON GLOBAL CAPITAL
February 5, 1997 - February 7, 1997
ARGENT SECURITIES, INC.
August 14, 1996 - March 27, 1998
JOSEPHTHAL & CO., INC.
May 15, 1995 - August 14, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 8, 1993 - June 13, 1995
FIRST ASSET MANAGEMENT, INC.
February 1, 1993 - July 8, 1993
COMMONWEALTH ASSOCIATES
October 19, 1992 - February 16, 1993
ROBERT TODD FINANCIAL CORP.
March 24, 1988 - October 25, 1988
F.D. ROBERTS SECURITIES, 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
(1/29/2020)
(6/20/2022)
(1/29/2020)
Exams
FINRA
Current Firm
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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