Richard D. Nichols

DEWITT CAPITAL MANAGEMENT LLC

Mystic, CT

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CRD#: 1189864

Professional summary

Richard Dewitt Nichols is a registered financial advisor currently at DEWITT CAPITAL MANAGEMENT LLC located in Mystic, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 3 firms and has passed the Series 65 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dewitt Nichols's CRS (Customer Relationship Summary).

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

Current

June 1, 1995 - Present

DEWITT CAPITAL MANAGEMENT LLC

RIA

CRD#: 105945

Mystic, CT

Past

December 23, 1985 - August 20, 1986

FIRST HAMPSHIRE SECURITIES, INC.

CRD#: 15600

Past

May 10, 1985 - November 18, 1985

DTM ASSOCIATES, INC.

CRD#: 13672

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/1/1995)

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: 12/9/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22

Date: 3/22/1984

Direct Participation Programs Representative Examination

Current Firm

DEWITT CAPITAL MANAGEMENT LLC

CRD#: 105945 / SEC#: 801-49159

RIA

Registered Investment Advisory firm - (6/12/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (5/22/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6 Brandon Lane, Mystic, CT 06355

Mailing Address

Phone number

(203) 258-0028

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 25,073,454

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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Richard D. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dewitt Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEWITT CAPITAL MANAGEMENT LLC

FIRST HAMPSHIRE SECURITIES, INC.

DTM ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1999

Series 22

Date: 3/22/1984

Current Firm

DEWITT CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEWITT CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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