Individual Firm
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BUD NICOL
CRD#: 2413791
IA
B
SPCCRD#: 110692 201 Sixth Ave.
INDIALANTIC, FL 32903
INDIALANTIC, FL 32903
SIGMA FINANCIAL CORPORATIONCRD#: 14303 201 Sixth Ave.
Indialantic, FL 32903
Indialantic, FL 32903
View By:
1/28/2003
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 6/20/2023
B
Minnesota 2/22/2021
B
Colorado 10/15/2012
B
New York 9/12/2012
B
Connecticut 2/8/2017
B
North Carolina 5/9/2016
B
Florida 9/12/2012
B
Pennsylvania 6/5/2018
IA
Florida 10/3/2012
B
Texas 5/27/2014
B
Illinois 11/14/2022
IA
Texas 8/27/2018
B
Massachusetts 1/28/2020
B
Virginia 9/12/2012
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
Registered with this firm since 9/12/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/24/2011 - 09/26/2012 | INDIALANTIC, FL | |
B | 09/21/2011 - 09/26/2012 | INDIALANTIC, FL | |
IA | 04/09/1999 - 09/21/2011 | INDIALANTIC, FL | |
B | 02/26/1999 - 09/21/2011 | INDIALANTIC, FL | |
B | 02/19/1999 - 03/05/1999 | BOCA RATON, FL | |
B | 04/10/1997 - 02/03/1999 | WINDSOR, CT | |
B | 08/23/1996 - 04/15/1997 | APPLETON, WI | |
B | 07/27/1995 - 04/01/1996 | CEDAR RAPIDS, IA | |
B | 05/15/1995 - 07/28/1995 | ATLANTA, GA | |
B | 10/12/1994 - 04/11/1995 | SCOTTSDALE, AZ | |
B | 04/21/1994 - 10/17/1994 | DULUTH, GA | |
B | 11/17/1993 - 03/09/1994 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.