John P. 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.
John Patrick Nichols, who also goes by John Patrick Nicholas, John Nicholas, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 11 firms and has passed the Series 65, Series 63, Series 7 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
December 22, 1998 - August 30, 1999
JWGENESIS SECURITIES, INC.
October 27, 1998 - January 21, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
July 12, 1997 - September 23, 1998
A. G. EDWARDS & SONS, INC.
September 5, 1995 - July 9, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1994 - September 6, 1995
HALPERT AND COMPANY, INC.
October 26, 1994 - November 28, 1994
MEYERS POLLOCK ROBBINS, INC.
July 28, 1994 - September 16, 1994
GRUNTAL & CO., L.L.C.
March 17, 1994 - August 5, 1994
GKN SECURITIES CORP.
September 16, 1993 - March 17, 1994
BILTMORE SECURITIES, INC.
November 22, 1991 - March 4, 1992
METROPOLITAN LIFE INSURANCE COMPANY
November 22, 1991 - March 4, 1992
MSI FINANCIAL SERVICES, 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
JWGENESIS SECURITIES, INC.
CRD#: 33832 / SEC#: , 8-46367
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
Red Flags
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