James M. Nicholson
Professional summary
James Michael Nicholson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 7 firms, which includes THE KEY GROUP INC., FIRST COLONIAL SECURITIES, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1999 - June 18, 1999
THE KEY GROUP INC.
July 25, 1995 - April 25, 1999
FIRST COLONIAL SECURITIES
October 23, 1992 - July 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 1991 - October 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1989 - August 1, 1991
CITIGROUP GLOBAL MARKETS INC.
January 9, 1989 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 19, 1988 - December 13, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE KEY GROUP INC.
CRD#: 42373 / SEC#: , 8-49818
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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