Nicholas L. Julian
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.
Nicholas Lawrence Julian was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1977. Nicholas had worked at 5 firms and has passed the Series 66, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2018 - January 4, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
May 27, 2008 - January 17, 2023
LPL FINANCIAL LLC
May 27, 2008 - January 17, 2023
LPL FINANCIAL LLC
May 16, 2006 - May 27, 2008
IFMG SECURITIES, INC.
August 23, 2002 - May 27, 2008
IFMG SECURITIES, INC.
February 15, 1977 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 15, 1977 - August 5, 2002
SIGNATOR INVESTORS, INC.
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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 2/10/1977
Registered Representative ExaminationCurrent Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
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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