Samuel S. Nicholls
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.
Samuel Scott Nicholls JR was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1997. Samuel had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 87, Series 86 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
August 10, 2016 - December 31, 2020
EMPIRE ASSET MANAGEMENT COMPANY
November 18, 2008 - August 10, 2016
BISHOP, ROSEN & CO., INC.
November 13, 1997 - November 21, 2008
GILFORD SECURITIES INCORPORATED
May 9, 1997 - October 27, 1997
WR LAZARD, LAIDLAW INCORPORATED
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
Series 7TO
Date: 2/14/2024
General Securities Representative ExaminationCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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