Neal V. Nickels
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.
Neal Von Nickels was a registered financial advisor .
Neal is a previously registered financial advisor and started their career in finance in 1981. Neal had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2010 - December 1, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
March 15, 2010 - March 16, 2010
SMITH, MOORE & CO.
March 15, 2010 - April 9, 2010
SMITH, MOORE & CO.
October 31, 1995 - March 22, 2010
LPL FINANCIAL LLC
August 18, 1987 - March 22, 2010
LPL FINANCIAL LLC
April 3, 1984 - August 22, 1987
LEHMAN BROTHERS INC.
June 23, 1981 - March 26, 1984
NEWHARD, COOK & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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