Kenneth T. Nickolas
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.
Kenneth Thomas Nickolas, who also goes by Ken Nickolas, Kenny Thomas Nickolas, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - December 31, 2013
AVALON INVESTMENT & SECURITIES GROUP, INC.
February 11, 2005 - April 2, 2012
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2004 - February 15, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 1, 1997 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
March 27, 1996 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
March 23, 1992 - March 27, 1996
CARILLON INVESTMENTS, 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
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
