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ND

Nicholas W. Dimmel

ASHFORD SECURITIES LLC
Dallas, TX 75254
Some features on this profile are disabled
CRD#: 6644243
ND

Professional summary

Nicholas Wayne Dimmel, who also goes by Nicholas Dimmel, Nicholas Wayne Dimmel, is a registered financial professional currently at ASHFORD SECURITIES LLC located in Dallas, Texas.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Dimmel | Nicholas Wayne Dimmel

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Wayne Dimmel'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®
None

Experience

Current

July 20, 2022 - Present

ASHFORD SECURITIES LLC

Office #1: 14185 Dallas Parkway, Suite 780, Dallas, TX 75254
BD
CRD#: 305330
Dallas, TX
Past

April 15, 2021 - July 20, 2022

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

March 8, 2019 - January 6, 2021

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
WESTLAKE, TX

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(7/20/2022)
RR
Arizona
(7/20/2022)
RR
California
(7/20/2022)
RR
Colorado
(7/20/2022)
RR
Hawaii
(7/20/2022)
RR
Idaho
(7/20/2022)
RR
Montana
(7/20/2022)
RR
Nevada
(7/20/2022)
RR
New Mexico
(7/20/2022)
RR
Oregon
(7/20/2022)
RR
Texas
(7/20/2022)
RR
Utah
(7/20/2022)
RR
Washington
(7/20/2022)
RR
Wyoming
(7/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/8/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/9/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHFORD SECURITIES LLC
ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Mailing Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Phone number
(469) 729-0500
Established
Delaware since 07/15/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KYLEMORE HOLDINGS LLCSOLE MEMBER
MOORE, PETER ALFRED JRCHIEF COMPLIANCE OFFICER1979755
STEIGERWALD, CARL JACOB IIICEO1231837
SUMNER, GARRETT BRUCE JRFINOP/ PFO/ POO6320306

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.

Company Information

ASHFORD SECURITIES LLC

CRD#: 305330Dallas, TX 75254

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