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ROBERT SCOTT NICKS
ROB NICKS
CRD#: 1107546
PR
Previously Registered Investment Adviser
PR
Previously Registered Broker
The representative was previously registered both as a broker and as an investment adviser. Visit IAPD for more information on this individual's investment adviser record. Go to SEC Site
9
Firms
0 State Licenses
0 FINRA Registrations
Registration History
1985199019952000200520102015BTD AMERITRADE, INC. (CRD# 7870)2018 - 2018 (<1 year)BSCOTTRADE, INC. (CRD# 8206)2015 - 2018 (3 years)BNYLIFE DISTRIBUTORS LLC (CRD# 35350)2013 - 2014 (1 year)BMIDAMERICA FINANCIAL SERVICES,... (CRD# 47351)2010 - 2013 (3 years)BMML DISTRIBUTORS, LLC (CRD# 38030)2006 - 2009 (3 years)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)2004 - 2004 (<1 year)BAMERICAN SKANDIA MARKETING, INC. (CRD# 21570)2003 - 2004 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)2002 - 2003 (<1 year)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)1997 - 2002 (5 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1983 - 1997 (14 years)
Previous Registration(s)
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B
02/26/2018 - 04/02/2018 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
B
01/02/2015 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) ST LOUIS, MO
B
05/08/2013 - 05/06/2014 NYLIFE DISTRIBUTORS LLC (CRD#:35350) GLEN CARBON, IL
B
03/22/2010 - 04/17/2013 MIDAMERICA FINANCIAL SERVICES, INC. (CRD#:47351)
FINRA expelled the firm on 05/10/2016
ROCHESTER, MI
B
07/25/2006 - 07/30/2009 MML DISTRIBUTORS, LLC (CRD#:38030) SPRINGFIELD, MA
B
04/08/2004 - 11/30/2004 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036) HARTFORD, CT
B
06/13/2003 - 02/09/2004 AMERICAN SKANDIA MARKETING, INC. (CRD#:21570) SHELTON, CT
B
12/13/2002 - 06/13/2003 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
07/16/1997 - 12/13/2002 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) NEWARK, NJ
B
08/01/1983 - 08/11/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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