Dennis E. 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.
Dennis Eual Nichols was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1976. Dennis had worked at 11 firms and has passed the Series 63, SIE, Series 7, PC and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2012 - March 28, 2023
PINNACLE FAMILY ADVISORS, LLC
July 6, 2012 - March 13, 2023
PURSHE KAPLAN STERLING INVESTMENTS
January 16, 2009 - July 10, 2012
SMITH, MOORE & CO.
January 16, 2009 - July 10, 2012
SMITH, MOORE & CO.
July 19, 2001 - February 5, 2009
CITIGROUP GLOBAL MARKETS INC.
April 30, 2001 - February 5, 2009
CITIGROUP GLOBAL MARKETS INC.
March 16, 1987 - May 25, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 7, 1979 - March 19, 1987
NEWHARD, COOK & CO. INCORPORATED
May 30, 1978 - March 1, 1979
REINHOLDT & GARDNER INCORPORATED
December 23, 1977 - June 15, 1978
UMIC, INC.
March 22, 1977 - January 9, 1978
G. WEEKS & CO., INC.
July 27, 1976 - April 16, 1977
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
May 3, 1976 - August 9, 1976
F. L. LAWRENCE & COMPANY, INC.
Primary Firm SEC Registration
PINNACLE FAMILY ADVISORS, LLC
CRD#: 145628 / SEC#: 801-78013
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
PC
Date: 12/1/1980
AMEX Put and Call ExamSeries 40
Date: 4/23/1976
Registered Principal ExaminationCurrent Firm
PINNACLE FAMILY ADVISORS, LLC
CRD#: 145628 / SEC#: 801-78013
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,876 |
| AUM (Assets Under Management) | $ 341,342,744 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/16/2025 | ||
| 01/26/2024 | ||
| 01/25/2023 |
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.
