Stephen J. Nicklas
Professional summary
Stephen James Nicklas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Stephen had worked at 2 firms, which includes MID-ATLANTIC SECURITIES INC., LPL FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2007 - September 28, 2010
MID-ATLANTIC SECURITIES, INC.
May 2, 2006 - February 22, 2007
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MID-ATLANTIC SECURITIES, INC.
CRD#: 18836 / SEC#: 801-112068, 8-36997
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVEL FOUR GROUP, LLC | OWNER | |
| POWELL, ELIZABETH TAYLOE | CHIEF COMPLIANCE OFFICER | 1240225 |
Regulatory assets under management
| Total Number of Accounts | 949 |
| AUM (Assets Under Management) | $ 380,201,903 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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