Carol A. Henry-nicoll
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.
Carol Annette Henry-nicoll, who also goes by Carol Annette Henry, Carol An Henry-nicoll, Carol Annette Henrynicoll, Carol An Nicoll, Carol Nicoll, Carol Nicolle, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1992. Carol had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - December 31, 2012
MUTUAL SECURITIES, INC.
October 21, 2011 - December 31, 2012
MUTUAL SECURITIES, INC.
March 2, 2009 - May 17, 2010
U.S. BANCORP ADVISORS, LLC
March 2, 2009 - May 17, 2010
U.S. BANCORP ADVISORS, LLC
May 29, 2007 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
March 11, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 14, 1998 - February 5, 2003
CAL FED INVESTMENTS
April 23, 1997 - November 14, 1998
GLENFED BROKERAGE SERVICES
August 13, 1996 - April 24, 1997
GRIFFIN FINANCIAL SERVICES
November 29, 1994 - August 1, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 6, 1992 - August 4, 1994
ROBERT THOMAS 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
Exams
Series 8
Date: 4/19/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
