CARL OLAF NICKERSON

CARL OLAF NICKERSON is currently employed as a Broker and/or Investment Adviser at GWFS EQUITIES, INC. located at 255 Bear Hill, waltham, MA, 02451.

CARL OLAF NICKERSON has worked at GWFS EQUITIES, INC. since January 16, 2018

Disclosure History

CARL OLAF NICKERSON has 3 Disclosure Event(s).

Date: July 31, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: November 11, 2009
Category: Criminal

Date: August 20, 1999
Category: Criminal
Charges: NUMBER PLATE, FALSE APPLIC FOR DEALER
Disposition: Dismissed

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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