Randell NicholsCRD 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.
Khp Capital LLC
Commonwealth Financial Network
Vanderpal Capital Management LLC
|Prospera Financial Services, Inc.||Dallas, TX||Feb 2013 - Current||4|
|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|
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
Total Assets Under Management1,366MILLIONS
Total Number of Accounts6,381ACCOUNTS
Average Account Value$214,022
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- 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)
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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