Christopher K. 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.
Christopher Kevin Nichols, who also goes by Chris Nichols, Chris Nickols, Christopher Kevin Nickols, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 1993. Christopher had worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2003 - February 9, 2011
PCBB CAPITAL MARKETS, LLC
April 12, 2001 - October 29, 2012
PCBB CAPITAL MARKETS, LLC
October 1, 1998 - June 7, 2000
BANC OF AMERICA SECURITIES LLC
July 11, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
July 7, 1993 - July 24, 1996
GARBAN CAPITAL MARKETS LLC
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
Current Firm
PCBB CAPITAL MARKETS, LLC
CRD#: 104428 / SEC#: , 8-52889
Contact information
Documents
Direct owners and executive officers
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.
