Richard Nichols
About Richard Nichols
Richard Nichols serves as a Principal Examiner at FINRA, Inc., where he has worked since 1985, bringing extensive experience in membership application matters. He holds an MBA from Mercer University and a Bachelor of Science in Finance from Auburn University.
Work at FINRA
Richard Nichols has worked at FINRA, Inc. since 1985, serving as a Principal Examiner for 39 years. His career at FINRA began during its previous identity as NASD, Inc. Throughout his tenure, he has progressed from a field examiner to a supervisor of examiners, reflecting his extensive experience and expertise in the organization.
Education and Expertise
Richard Nichols holds a Master of Business Administration (MBA) in Finance from Mercer University, where he studied from 1982 to 1984. He also earned a Bachelor of Science (BS) in Finance from Auburn University, College of Business, attending from 1978 to 1982. His educational background provides a strong foundation for his work in financial regulation and examination.
Background
Richard Nichols has a long-standing career in financial examination, primarily with FINRA. His involvement with the organization spans several decades, beginning in the mid-1980s. His role has included significant responsibilities in managing membership application matters within FINRA's Centralized Membership Application Program (MAP) Group.
Achievements
Throughout his career at FINRA, Richard Nichols has gained extensive experience in handling membership application matters. His role as Principal Examiner has allowed him to contribute to the organization's regulatory functions, particularly in the Centralized Membership Application Program (MAP) Group.