Theresa B. 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.
Theresa B Nichols, who also goes by Theresa Beryl Nichols, Theresa Nichols, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2012. Theresa had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2022 - March 19, 2024
PARAGON WEALTH STRATEGIES, LLC.
February 24, 2020 - June 15, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2020 - June 15, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2013 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2012 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PARAGON WEALTH STRATEGIES, LLC.
CRD#: 146543 / SEC#: 801-79640
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,298,012 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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