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Detailed Report
TODD HUME NICHOLS
TODD H. HUME NICHOLS
CRD#: 2407627
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K. STREET NW
WASHINGTON, DC 20005
Registration History
19952000200520102015202020252 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - Present (16 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 2003 (9 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 2003 (7 years)
License(s)

State Registrations

B
Alabama 1/9/2025
B
Michigan 2/13/2009
B
Arizona 6/25/2020
B
Mississippi 2/21/2025
B
California 2/13/2009
B
Nevada 2/13/2009
B
Colorado 2/13/2009
B
New Jersey 2/13/2009
B
Connecticut 8/6/2020
B
New Mexico 3/23/2022
B
Delaware 2/27/2009
B
New York 10/11/2018
B
District of Columbia 2/13/2009
B
North Carolina 2/13/2009
IA
District of Columbia 2/13/2009
B
Ohio 8/6/2020
B
Florida 2/13/2009
B
Oregon 2/27/2013
IA
Florida 3/13/2017
B
Pennsylvania 2/13/2009
B
Georgia 4/20/2011
B
Rhode Island 6/12/2023
B
Hawaii 2/13/2009
B
South Carolina 2/17/2021
B
Illinois 2/13/2009
B
Tennessee 10/8/2019
B
Indiana 12/10/2021
B
Texas 2/13/2009
B
Kentucky 2/25/2014
IA
Texas 2/13/2009
B
Louisiana 10/29/2014
B
Utah 1/3/2023
B
Maine 6/12/2023
B
Virginia 2/13/2009
B
Maryland 2/13/2009
B
Washington 2/13/2009
IA
Maryland 10/23/2014
B
West Virginia 2/13/2009
B
Massachusetts 2/13/2009

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
3 PARK PLACE 3RD FLOOR, ANNAPOLIS, MD 21401
Registered with this firm since 2/13/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
3 PARK PLACE 3RD FLOOR, ANNAPOLIS, MD 21401
Registered with this firm since 2/13/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/01/2003 - 02/17/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) WASHINGTON, DC
B
 07/01/2003 - 02/17/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) WASHINGTON, DC
IA
 07/23/1996 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) WASHINGTON, DC
B
 11/05/1993 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.