Charles R. 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.
Charles Raymond Nichols III, who also goes by Charles Raymond Nicholas III, Charles Raymond Nichols, Skip Nichols III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1978. Charles had worked at 9 firms and has passed the Series 63, 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
November 1, 2013 - September 15, 2016
INVESTORS CAPITAL CORP.
December 22, 2008 - September 17, 2013
WINSLOW, EVANS & CROCKER, INC.
January 1, 2008 - January 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 12, 1996 - February 15, 2001
MORGAN STANLEY DW INC.
August 17, 1994 - June 13, 1996
SESLIA SECURITIES
September 16, 1993 - July 29, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1991 - March 4, 1993
INDEX SECURITIES, INC.
February 19, 1987 - May 21, 1987
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
January 3, 1978 - November 28, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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