Debra L. 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.
Debra Lea Nichols was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1992. Debra had worked at 5 firms and has passed the Series 65, 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
February 25, 2016 - December 1, 2020
CHRONICLE ADVISORS LLC
April 13, 2007 - June 30, 2011
ANODOS ADVISORS, LLC
July 30, 2001 - April 11, 2002
ARTISAN PARTNERS DISTRIBUTORS LLC
January 2, 1997 - May 26, 2000
FUNDS DISTRIBUTOR, LLC
March 1, 1996 - December 31, 1996
FPS BROKER SERVICES, INC.
July 17, 1992 - December 31, 1995
FPS BROKER SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHRONICLE ADVISORS LLC
CRD#: 281806 / SEC#: 801-106860
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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