CHRISTOPHER GEORGE NICHOLS

CHRISTOPHER GEORGE NICHOLS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 270 SW Natura Ave, Deerfield Beach, FL, 33441.

CHRISTOPHER GEORGE NICHOLS has worked at CETERA ADVISOR NETWORKS LLC since January 17, 2017

Disclosure History

CHRISTOPHER GEORGE NICHOLS has 2 Disclosure Event(s).

Date: January 17, 2017
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES IMPROPER RECOMMENDATIONS IN HIGH-RISK PRIVATE PLACEMENT INVESTMENTS.
Damage Amount Requested: $100,000.00
Settlement Amount: $5,000.00

Date: August 30, 2005
Category: Customer Dispute
Allegations: IN APRIL OF 2004 CLIENT ALLEGES REP. SOLD HIM AN UNSUITABLE WELLS REIT INSTEAD OF DOING A 1035 EXCHANGE WITHOUT TAX CONSEQUENCES.
Broker Comment: COMPENSATORY DAMAGES UNKNOWN.

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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