Marc A. Nichols

PROMETHEUM EMBER CAPITAL

New York, NY 10005

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CRD#: 6332434

Professional summary

Marc Andrew Nichols, CIMA®, who also goes by Marc Nichols, Marc Andrew Nichols, is a registered financial professional currently at PROMETHEUM EMBER CAPITAL located in New York, New York and PROMETHEUM ATS located in New York, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 2014. Marc has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marc Nichols | Marc Andrew Nichols

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.

Name of Outside Business:International Tennis Federation; Investment Related:No; Address of Outside Business:Cedar Park, TX; Nature of Outside Business:Other; Position:Tennis Professional; Start Date:12/26/2005; Hours per month: 10-20; Hours per month during securities trading hours: No; Description of Duties: I play professional tennis tournaments.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Andrew Nichols's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 8, 2025 - Present

PROMETHEUM EMBER CAPITAL

Office #1: 120 Wall Street 25th Floor, New York, NY 10005

CRD#: 312784

New York, NY

Current

September 8, 2025 - Present

PROMETHEUM ATS

Office #1: 120 Wall Street 25th Floor, New York, NY 10005

CRD#: 311636

New York, NY

Current

September 8, 2025 - Present

PROFINANCIAL, INC.

Office #1: 120 Wall Street 25th Flr, New York, NY 10005

CRD#: 15345

NEW YORK, NY

Past

May 21, 2024 - September 5, 2025

PROMETHEUM EMBER CAPITAL

CRD#: 312784

NEW YORK, NY

Past

May 21, 2024 - September 5, 2025

PROMETHEUM ATS

CRD#: 311636

New York, NY

Past

March 10, 2021 - May 20, 2024

ARBOR CAPITAL MANAGEMENT INC

RIA

CRD#: 111362

Cedar Park, TX

Past

February 6, 2019 - December 31, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Cedar Park, TX

Past

February 6, 2019 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Cedar Park, TX

Past

February 6, 2019 - December 31, 2020

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 2, 2015 - January 18, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

February 25, 2015 - January 18, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

Past

September 4, 2014 - January 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

June 16, 2014 - January 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/10/2025)

Alaska
(9/8/2025)

Arizona
(9/11/2025)

Arkansas
(11/4/2025)

California
(9/16/2025)

Colorado
(9/9/2025)

Connecticut
(11/3/2025)

Delaware
(9/11/2025)

District of Columbia
(11/5/2025)

Florida
(9/8/2025)

Georgia
(11/3/2025)

Hawaii
(9/10/2025)

Idaho
(9/15/2025)

Illinois
(9/11/2025)

Indiana
(9/23/2025)

Iowa
(9/8/2025)

Kansas
(9/8/2025)

Kentucky
(9/8/2025)

Louisiana
(9/15/2025)

Maine
(9/9/2025)

Maryland
(9/18/2025)

Massachusetts
(9/9/2025)

Michigan
(9/8/2025)

Minnesota
(9/8/2025)

Mississippi
(9/8/2025)

Missouri
(9/15/2025)

Montana
(9/8/2025)

Nebraska
(9/8/2025)

Nevada
(9/10/2025)

New Hampshire
(9/15/2025)

New Jersey
(9/8/2025)

New Mexico
(9/23/2025)

New York
(9/11/2025)

North Carolina
(10/16/2025)

North Dakota
(11/6/2025)

Ohio
(9/10/2025)

Oklahoma
(9/8/2025)

Oregon
(9/10/2025)

Pennsylvania
(9/9/2025)

Puerto Rico
(9/19/2025)

Rhode Island
(9/9/2025)

South Carolina
(9/8/2025)

South Dakota
(9/8/2025)

Tennessee
(9/11/2025)

Texas
(9/8/2025)

Utah
(9/15/2025)

Vermont
(9/11/2025)

Virgin Islands
(11/3/2025)

Virginia
(9/10/2025)

Washington
(9/8/2025)

West Virginia
(9/11/2025)

Wisconsin
(10/29/2025)

Exams

State Security Law Exam

Series 63

Date: 7/3/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/3/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/10/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROFINANCIAL, INC.

COLLINS-OGDEN, INC. | PROFINANCIAL, INC. | PROFINANCIAL | OGDEN SECURITIES

CRD#: 15345 / SEC#: , 8-32026

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

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Contact information

Main Address

120 Wall Street 25th Flr, New York, NY 10005

Mailing Address

120 Wall Street 25th Flr, New York, NY 10005

Phone number

(212) 333-3315

Established

Louisiana since 05/15/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PROMETHEUM INC	MINORITY OWNER
BECKERMAN, JARRED	FINOP	6683745
FANELLI, ROSEMARIE	CHIEF OPERATING OFFICER	7463196
KAPLAN, BENJAMIN	CEO	6993516
KITCHIN, KENNETH JOHN	CHIEF COMPLIANCE OFFICER/AMLCO	6748676

Disclosures

Regulatory Event

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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Firm Stability Insights

Marc A. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Andrew Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROMETHEUM ATS

PROFINANCIAL, INC.

PROMETHEUM EMBER CAPITAL

PROMETHEUM ATS

ARBOR CAPITAL MANAGEMENT INC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2024

Series 66

Date: 9/3/2014

Series 7TO

Date: 3/10/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2014

FINRA

Current Firm

PROFINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PROFINANCIAL, INC.

TRUST BUT VERIFY

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