Richard H. Nickles
Professional summary
Richard Hatfield Nickles II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1978. Prior to being barred, Richard had worked at 10 firms, which includes INNOVATIVE ADVISORY SERVICES LLC, ISLAND TRADING, SECURITIES SERVICE NETWORK LLC, SUNAMERICA SECURITIES INC., SECURITIES AMERICA INC., LINCOLN NATIONAL PENSION INSURANCE COMPANY, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., CADARET GRANT & CO. INC., TRANSAMERICA FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2004 - December 31, 2010
INNOVATIVE ADVISORY SERVICES, LLC
February 21, 2002 - March 2, 2009
ISLAND TRADING
September 12, 1997 - April 10, 2002
SECURITIES SERVICE NETWORK, LLC
February 28, 1997 - September 17, 1997
SUNAMERICA SECURITIES, INC.
January 3, 1990 - February 28, 1997
SECURITIES AMERICA, INC.
April 12, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 12, 1988 - February 1, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 12, 1988 - February 1, 1990
OSAIC FA, INC.
June 30, 1983 - May 4, 1988
CADARET, GRANT & CO., INC.
June 21, 1978 - September 12, 1983
TRANSAMERICA FINANCIAL ADVISORS, 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 1
Date: 6/12/1978
Registered Representative ExaminationCurrent firm
No current employment
Red Flags
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