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Dwight M. Nicholas

PARKLAND SECURITIES
Pembroke Pines, FL
Some features on this profile are disabled
CRD#: 2612080
DN

Professional summary

Dwight Melbourne Nicholas is a registered financial professional currently at PARKLAND SECURITIES, LLC located in Pembroke Pines, Florida.

Dwight is registered as a RR (Registered Representative) and started their career in finance in 1996. Dwight has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dwight Melbourne Nicholas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 18, 2022 - Present

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
Pembroke Pines, FL
Past

December 19, 2013 - September 28, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Miramar, FL
Past

August 2, 2011 - October 25, 2013

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
BOCA RATON, FL
Past

March 27, 2008 - December 31, 2010

KOVACK SECURITIES INC.

BD
CRD#: 44848
FT. LAUDERDALE, FL
Past

August 23, 2005 - March 27, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
BOCA RATON, FL
Past

April 15, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

April 15, 1998 - January 25, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

May 20, 1996 - December 5, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

May 20, 1996 - December 5, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/18/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/12/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/16/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PARKLAND SECURITIES, LLC
PARKLAND SECURITIES, LLC | SAMMONS SECURITIES COMPANY, LLC

CRD#: 115368 / SEC#: , 8-53482

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103
Phone number
(734) 663-1611
Established
Delaware since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020TRUST (OWNER OF NON-VOTING INTERESTS)
CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020TRUST (OWNER OF NON-VOTING INTERESTS)
JEROME M. RYDELL GIFT TRUST DATED 10/30/2020TRUST (OWNER OF NON-VOTING INTERESTS)
KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020TRUST (OWNER OF NON-VOTING INTERESTS)
THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020TRUST (OWNER OF NON-VOTING INTERESTS)
BAUER, KRISTEN ANNETRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/20202457506
DUNBAR, THERESA LYNNTRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/20207346975
ELLISON, CARLTRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/20207342594
MCCLELLAN, JOHN ALEXANDERCHIEF RISK AND BUSINESS OFFICER4016479
PHILLIPS, RICHARD THOMASCHIEF COMPLIANCE OFFICER6041363
PISTOR, RANDOLPH FULVIOCHIEF LEGAL OFFICER5143334
RYDELL, BRANDON DAVIDPRESIDENT AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/20202933397
RYDELL, JEROME MATTHEWTRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/20207346979
RYDELL, JEROME STANLEYCEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED408389
THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020TRUST (OWNER OF ALL VOTING INTERESTS)
WOOTON, RYAN DANIELCHIEF FINANCIAL OFFICER8006797

Disclosures

Regulatory Event11
Arbitration1

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.

Company Information

PARKLAND SECURITIES, LLC

CRD#: 115368Pembroke Pines, FL

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