Francis O. Nicklin
Professional summary
Francis Oliver Nicklin JR is a registered financial professional currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1971. Francis has worked at 2 firms and has passed the Series 79TO, Series 7TO, Series 52TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis Oliver Nicklin JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 1982 - Present
FIRST ANALYSIS SECURITIES CORPORATION
Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606April 1, 1971 - November 26, 1983
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2023)
(5/21/1999)
(4/29/1982)
(3/21/2023)
(3/3/2023)
(7/31/2024)
(1/4/2001)
(1/3/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 3/17/1971
Registered Representative ExaminationSeries 40
Date: 1/24/1973
Registered Principal ExaminationFINRA
Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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