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JOSEPH CHARLES NICHOLS
JOE NICHOLS, JOSEPH NICHOLS
CRD#: 3060442
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 150 Wacker Drive
Suite 100
Chicago, IL 60606
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BLOOP CAPITAL MARKETS LLC (CRD# 43098)2008 - 2013 (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2008 (8 years)BLIBERTY FUNDS DISTRIBUTOR, INC. (CRD# 30683)1999 - 1999 (<1 year)BSIGNATOR INVESTORS, INC. (CRD# 468)1998 - 1999 (<1 year)
License(s)

State Registrations

B
Arizona 1/8/2024

B
Michigan 4/24/2014

B
Arkansas 4/24/2014

B
New Jersey 4/24/2014

B
California 4/24/2014

B
New York 4/24/2014

B
Colorado 4/24/2014

B
North Carolina 1/9/2015

B
Connecticut 8/17/2024

B
Ohio 4/24/2014

B
Delaware 1/8/2024

B
Oregon 6/12/2024

B
Florida 4/24/2014

B
Tennessee 4/24/2014

B
Georgia 1/8/2024

B
Texas 1/8/2024

B
Illinois 4/24/2014

B
Utah 9/18/2024

IA
Illinois 6/3/2014

B
Virginia 9/11/2017

B
Indiana 4/24/2014

B
Washington 4/24/2014

B
Iowa 4/24/2014

B
Wisconsin 4/24/2014

B
Massachusetts 4/24/2014

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
150 Wacker Drive Suite 100, Chicago, IL 60606
Registered with this firm since 6/3/2014

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
150 Wacker Drive Suite 100, Chicago, IL 60606
Registered with this firm since 4/24/2014

Previous Registration(s)
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B
08/04/2008 - 08/01/2013 LOOP CAPITAL MARKETS LLC (CRD#:43098) CHICAGO, IL
B
02/18/2000 - 08/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
05/12/1999 - 12/31/1999 LIBERTY FUNDS DISTRIBUTOR, INC. (CRD#:30683) BOSTON, MA
B
05/29/1998 - 04/15/1999 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
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B
Broker
IA
Investment Adviser
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.