Benjamin B. Nichols
Professional summary
Benjamin Bryce Nichols is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Atlanta, Georgia.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1998. Benjamin has worked at 9 firms and has passed the Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Bryce Nichols's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2023 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 5775 Glenridge Drive, Building B, Suite 410, Atlanta, GA 30328February 13, 2018 - January 4, 2022
AMERICAN FIDELITY SECURITIES, INC.
October 4, 2016 - October 23, 2017
PRUCO SECURITIES, LLC.
June 24, 2015 - October 14, 2016
PRINCIPAL SECURITIES, INC.
January 16, 2014 - July 16, 2015
VALIC FINANCIAL ADVISORS, INC.
May 24, 2013 - January 22, 2014
PARK AVENUE SECURITIES LLC
August 30, 2012 - April 10, 2013
HORNOR, TOWNSEND & KENT, LLC
October 23, 2008 - August 31, 2012
MSI FINANCIAL SERVICES, INC.
September 16, 1998 - December 31, 1999
PFS INVESTMENTS 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
(3/14/2023)
Exams
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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