Michael J. Nichols
Professional summary
Michael Joshua Nichols, who also goes by Josh Nichols, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 87, Series 86, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joshua Nichols's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025April 15, 2014 - November 30, 2017
B. RILEY & CO., LLC
February 21, 2005 - September 13, 2005
MORGAN STANLEY DW INC.
February 2, 2005 - September 13, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/2017)
Exams
FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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