NICKLES RICHARD HATFIELD II
Legal name: R. NICKLES AND COMPANY
CRD #111468 SEC #801-40313 ANAHEIM, CA 714-701-4952
SEC Registered Broker-Dealer
Total AUM
$36.4M
Discretionary
$21.8M
Employees
5
Clients
10
Accounts
231
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 1, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| VALLEJOS, SHARI ANN | I | FINOP | NA | |
| NICKLES, RICHARD HATFIELD II | I | SOLE PROPRIETOR | E | Control |
| NICKLES, RICHARD, HATFIELD | I | SOLE PROPRIETOR | E | Control |
| NICKLES, RICHARD, HATFIELD | I | SOLE PROPRIETOR | E | Control |
Registrations
Federal
IA
Apr 1, 2002 REGISTERED
Notice Filings (3)
CA NV TX
Address
1290 N. HANCOCK ST.SUITE 203A
ANAHEIM, CA 92807
USA
Phone: 714-701-4952