Douglas B. Nichols
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.
Douglas Berryman Nichols was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1969. Douglas had worked at 9 firms and has passed the Series 63, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2002 - November 12, 2009
DAVIDSON INVESTMENT ADVISORS, INC.
July 19, 1999 - October 1, 2015
D.A. DAVIDSON & CO.
May 18, 1998 - October 1, 2015
D.A. DAVIDSON & CO.
February 26, 1988 - May 18, 1998
PIPER SANDLER & CO.
February 1, 1988 - March 7, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 3, 1982 - February 10, 1988
BOETTCHER & COMPANY, INC.
September 16, 1977 - August 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 4, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
DAVIDSON INVESTMENT ADVISORS, INC.
CRD#: 110552 / SEC#: 801-10883
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
PC
Date: 7/1/1977
AMEX Put and Call ExamSeries 1
Date: 12/1/1969
Registered Representative ExaminationCurrent Firm
DAVIDSON INVESTMENT ADVISORS, INC.
CRD#: 110552 / SEC#: 801-10883
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,407 |
| AUM (Assets Under Management) | $ 5,200,170,370 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
