Craig I. 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.
Craig I Nichols was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1991. Craig had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 3, 2012 - March 3, 2017
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 19, 2010 - December 13, 2010
OSAIC WEALTH, INC.
June 19, 2007 - September 2, 2008
FLAGSTAR ADVISORS
January 1, 2005 - March 16, 2007
HSBC SECURITIES (USA) INC.
October 19, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
May 9, 2000 - October 16, 2001
CITICORP INVESTMENT SERVICES
June 6, 1997 - March 19, 1998
OSAIC WEALTH, INC.
July 15, 1991 - June 16, 1995
BNY MELLON SECURITIES CORPORATION
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
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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