Jonathan A. Nickel

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CRD#: 5669145

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.

Jonathan Albert Nickel, who also goes by Jonathan A Nickel, Jonathan Albert Nickel, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2010. Jonathan had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jonathan A Nickel | Jonathan Albert Nickel

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.

NORTH TEXAS LACROSSE OFFICIALS ASSOCATION, NOT INV RELATED, DALLS, TX, REFEREE, START: 5/1/2019, 5 HRS/MONTH, 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 20, 2024 - August 9, 2024

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

April 29, 2019 - March 13, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLANO, TX

Past

April 29, 2019 - March 13, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PLANO, TX

Past

March 25, 2017 - April 29, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Dallas, TX

Past

March 25, 2017 - April 29, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Dallas, TX

Past

August 4, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

DALLAS, TX

Past

May 24, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DALLAS, TX

Past

April 28, 2010 - June 1, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

AUSTIN, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/28/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/27/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

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.

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Jonathan A. Nickel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2016

Series 63

Date: 12/18/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2014

Series 6

Date: 4/27/2010

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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