Randell Nichols, financial advisor Dallas TX
83 score

Randell Nichols

CRD Number: 1414406
Current Firm: Prospera Financial Services, Inc.

Randell Nichols (CRD# 1414406) is an Investment Advisor Representative working at Prospera Financial Services, Inc. in Dallas, TX and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Prospera Financial Services, Inc. Dallas, TX Feb 2013 - Current 3
Massmutual Life Insurance Company Addison, TX Sep 2011 - Feb 2013 1
Mml Investors Addison, TX Sep 2011 - Feb 2012 < 1
Hartford Equity Sales Company Inc. Simsbury, CT Aug 2010 - Aug 2011 1
Mml Investors Services Inc. Frisco, TX Mar 2007 - Aug 2010 3
Massmutual Frisco, TX Mar 2007 - Aug 2010 3
Nylife Securities Inc. Dallas, TX Jul 1985 - Mar 2007 21
New York Life Ins. Company Dallas, TX Feb 1985 - Mar 2007 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1985
S65 NASAA Investment Advisors Law Examination Aug 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Randell T. Nichols
Phone Number: 972-581-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    1,366
    MILLIONS
  • Total Number of Accounts
    6,381
    ACCOUNTS
  • Average Account Value
    $214,022
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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