Annette 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.
Annette Elaine Nichols, who also goes by Annette T Nichols, Annette Elaine Todd, was a registered financial professional .
Annette is a previously registered financial professional and started their career in finance in 2004. Annette had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2007 - October 24, 2007
SECU BROKERAGE SERVICES
October 24, 2007 - August 27, 2018
CREDIT UNION INVESTMENT SERVICES
November 1, 2006 - August 27, 2018
SECU BROKERAGE SERVICES
February 3, 2004 - April 21, 2006
SECU BROKERAGE SERVICES
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
Current Firm
SECU BROKERAGE SERVICES
CRD#: 19899 / SEC#: , 8-37927
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT UNION INVESTMENT SERVICES | OWNER | 144871 |
| APPLEQUIST, JAMMISON ANDREW | DIRECTOR | 4790400 |
| BRADY, LEIGH WALSTON | DIRECTOR | 6258342 |
| CARTER, TENESHA THOMPSON | PRESIDENT/CEO | 5200270 |
| CHALK, GRAHAM LEE | DIRECTOR | 7740745 |
| HAMILTON, MATTHEW ALLEN | COO | 4566788 |
| HAMRICK, JENNIFER BRYAN | DIRECTOR | |
| JENKINS, LESLIE ANNA | DIRECTOR | 8168266 |
| SIMMS, PETER BOYETTE | CCO | 6377097 |
| SPIVEY, REX ALAN | CFO | 6675458 |
| WADDELL, STACEY JUNE | DIRECTOR | 5526230 |
Disclosures
| Regulatory Event | 7 |
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.
