Ronnie E. 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.
Ronnie Edward Nichols was a registered financial professional .
Ronnie is a previously registered financial professional and started their career in finance in 1969. Ronnie had worked at 13 firms and has passed the Series 65, Series 63, SIE, 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
February 11, 2019 - October 8, 2019
MADISON AVENUE SECURITIES, LLC
December 21, 1999 - April 13, 2017
EMPOWER FINANCIAL SERVICES, INC.
June 1, 1992 - August 4, 1992
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 3, 1989 - December 7, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 23, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 30, 1985 - September 12, 2002
NPC SECURITIES, INC.
May 16, 1985 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 19, 1983 - November 1, 1985
LOWRY FINANCIAL SERVICES CORPORATION
May 19, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 31, 1982 - July 23, 1982
NPC SECURITIES, INC.
September 20, 1977 - January 4, 1982
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 17, 1977 - August 18, 1977
ENTERPRISE FUND DISTRIBUTORS, INC.
July 13, 1976 - February 17, 1977
PIEDMONT CAPITAL CORPORATION
November 14, 1975 - June 17, 1976
FINANCIAL INDUSTRIES SECURITIES CORPORATION
June 6, 1969 - December 29, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 6, 1969 - December 29, 1975
OSAIC FA, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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 1
Date: 6/2/1969
Registered Representative ExaminationCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
