Jeremy H. 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.
Jeremy Havens Nichols was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2015. Jeremy 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
August 3, 2017 - February 15, 2018
USCA RIA LLC
June 13, 2017 - June 30, 2017
USCA RIA LLC
June 13, 2017 - February 15, 2018
USCA SECURITIES LLC
January 20, 2016 - June 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2015 - June 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
USCA RIA LLC
CRD#: 152170 / SEC#: 801-72105
Contact information
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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