Mark M. Nickels
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.
Mark Mcmurray Nickels was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2018 - December 31, 2019
ALLSTATE FINANCIAL SERVICES, LLC
April 5, 2011 - August 24, 2011
QUESTAR ASSET MANAGEMENT, INC.
March 15, 2011 - August 24, 2011
QUESTAR CAPITAL CORPORATION
October 5, 2009 - January 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2005 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 2, 2005 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 6, 2000 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2000 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 1995 - May 26, 2000
J.C. BRADFORD & CO.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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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