Leroy J. Nichols

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CRD#: 1070550

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Leroy Jack Nichols, who also goes by Jack Leroy Nichols, Leroy Nichols, was a registered financial professional .

Leroy is a previously registered financial professional and started their career in finance in 1982. Leroy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jack Leroy Nichols | Leroy Nichols

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 7, 2017 - October 18, 2021

APEIRON

RIA

CRD#: 289273

DALLAS, TX

Past

December 3, 2003 - September 21, 2017

WFG ADVISORS, LP

RIA

CRD#: 125073

DALLAS, TX

Past

May 24, 2002 - September 21, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

May 11, 1998 - June 11, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DALLAS, TX

Past

May 11, 1998 - June 11, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 12, 1992 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

February 3, 1988 - February 3, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 24, 1982 - February 10, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APEIRON

CRD#: 289273 / SEC#: 801-110974

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/19/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Current Firm

APEIRON

CRD#: 289273 / SEC#: 801-110974

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

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Contact information

Main Address

10000 North Central Expressway Suite 700, Dallas, TX 75231

Mailing Address

Phone number

(972) 421-2068

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APEIRON ADV PART 2A (3/21/2025)

APEIRON ADV PART 2A APPENDIX (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,411
AUM (Assets Under Management)	$ 730,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Leroy J. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

APEIRON

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/1996

Series 63

Date: 11/23/1982

SIE

Date: 9/21/2017

Series 3

Date: 1/19/1990

Series 7

Date: 11/20/1982

Current Firm

APEIRON

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APEIRON

TRUST BUT VERIFY

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