Robert W. 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.
Robert Wayne Nichols, who also goes by Bob Nichols, Robert W Nichols, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 22, Series 1, Series 53, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2004 - January 27, 2025
WINDWARD CAPITAL MANAGEMENT CO
March 12, 1997 - January 24, 2025
S.L. REED & COMPANY
November 16, 1995 - May 7, 1997
LAIDLAW GLOBAL SECURITIES, INC.
August 14, 1985 - May 27, 1992
MIDVALE SECURITIES CORPORATION
May 6, 1970 - August 20, 1971
AMERICAN CONSOLIDATED SECURITIES CORP.
August 13, 1969 - May 2, 1972
M. P. KRUSE & COMPANY, INC.
Primary Firm SEC Registration
WINDWARD CAPITAL MANAGEMENT CO
CRD#: 106908 / SEC#: 801-50819
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 12/14/1967
Registered Representative ExaminationCurrent Firm
WINDWARD CAPITAL MANAGEMENT CO
CRD#: 106908 / SEC#: 801-50819
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 1,326,123,739 |
Red Flags
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