Michael J. Nicola
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.
Michael Joseph Nicola was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2022 - May 30, 2025
THE LEADERS GROUP, INC.
May 31, 2016 - October 15, 2021
COLORADO FINANCIAL SERVICE CORPORATION
February 9, 2007 - July 24, 2014
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 7, 2004 - November 17, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 1, 2002 - March 30, 2004
JOHN HANCOCK DISTRIBUTORS LLC
March 25, 1991 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
March 6, 1990 - April 2, 1991
CETERA ADVISORS LLC
June 17, 1988 - February 28, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 19, 1986 - February 16, 1988
COREBRIDGE CAPITAL SERVICES, INC.
August 24, 1979 - July 20, 1984
BOETTCHER & COMPANY, 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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