Jeffrey S. Nimmow
Professional summary
Jeffrey Scott Nimmow was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jeffrey had worked at 6 firms, which includes FOREST SECURITIESINC., QUESTAR CAPITAL CORPORATION, TRADERIGHT SECURITIES INC., USALLIANZ SECURITIES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - March 23, 2018
FOREST SECURITIES,INC.
February 3, 2009 - August 3, 2015
QUESTAR CAPITAL CORPORATION
January 18, 2007 - October 27, 2008
TRADERIGHT SECURITIES, INC.
January 20, 2005 - October 9, 2006
USALLIANZ SECURITIES, INC.
March 8, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 8, 1996 - January 19, 2005
SIGNATOR INVESTORS, 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
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
