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Herbert L Nichols

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Reno, NV

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-03-22
NV RA APPROVED 1993-11-05
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • NV RA
    APPROVED
    Since 1993-11-05

Branch Locations

5370 Kietzke Ln, Reno, NV 89511 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Reno NV 08/1992 Present
Bank Of America, Na Reno NV 09/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-25
S63 Uniform Securities Agent State Law Examination 1982-11-19
  • S65 Uniform Investment Adviser Law Examination
    1994-03-25
  • S63 Uniform Securities Agent State Law Examination
    1982-11-19
Other Names
  • Herbert Nichols
  • Herbert Louis Nichols

View on SEC IAPD

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MORGAN STANLEY · Reno, NV
EDWARD JONES · RENO, NV
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GW FINANCIAL · RENO, NV
TREO VENTURES, LLC · RENO, NV
ELEVAGE PARTNERS, LLC · RENO, NV
DISCRETIONARY INC. · RENO, NV

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