AN
Andrew V. Nichol
FNBB CAPITAL MARKETS
Birmingham, AL 35209
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CRD#: 4539544
AN
Professional summary
Andrew Vincent Nichol is a registered financial advisor currently at FNBB CAPITAL MARKETS, LLC located in Birmingham, Alabama.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Vincent Nichol's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Vincent Nichol's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 15, 2017 - Present
FNBB CAPITAL MARKETS, LLC
Office #1: 600 University Park Place Suite 380, Birmingham, AL 35209RIA
BD
CRD#: 132091
Birmingham, AL
Current
January 3, 2006 - Present
FNBB CAPITAL MARKETS, LLC
Office #1: 600 University Park Place Suite 380, Birmingham, AL 35209RIA
BD
CRD#: 132091
Birmingham, AL
Past
February 19, 2003 - January 6, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
October 4, 2002 - March 3, 2003
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/19/2006)
IAR
Alabama(11/15/2017)
RR
Kentucky(12/16/2022)
RR
Mississippi(1/19/2006)
IAR
Mississippi(11/15/2017)
RR
Tennessee(12/27/2016)
IAR
Tennessee(11/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FNBB CAPITAL MARKETS, LLC
FNBB CAPITAL MARKETS, LLC
CRD#: 132091 / SEC#: , 8-66553
Alabama
Registered Investment Advisory firm - SEC (8/2/2017 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/3/2017 Approved)Mississippi
Registered Investment Advisory firm - SEC (9/6/2017 Approved)Tennessee
Registered Investment Advisory firm - SEC (8/7/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
600 University Park Place Suite 380, Birmingham, AL 35209
Mailing Address
600 University Park Place Suite 380, Birmingham, AL 35209
Phone number
(205) 262-2522
Established
Louisiana since 11/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
29
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL BANKER'S BANKSHARES, INC. | PARENT COMPANY | |
| BOUDREAUX, LAURA J. | PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER | 4823412 |
| CORTS, CHRISTIAN HAAS | PRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER | 2581628 |
| QUINLAN, JOSEPH FRANCIS JR | MEMBER | 1579877 |
Disclosures
| Regulatory Event | 2 |
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.
