William W. Nichols

PHX FINANCIAL

Fort Lauderdale, FL 33301

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CRD#: 1826827

Professional summary

William Whitsett Nichols is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

William is registered as a RR (Registered Representative) and started their career in finance in 1992. William has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Whitsett Nichols's CRS (Customer Relationship Summary).

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

April 4, 2024 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301

CRD#: 144403

Fort Lauderdale, FL

Past

October 2, 2019 - April 3, 2024

LPS CAPITAL LLC

CRD#: 155246

NEW YORK, NY

Past

July 25, 2008 - October 9, 2019

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

NEW YORK, NY

Past

April 25, 1999 - July 24, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 4, 1997 - September 12, 1997

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

February 2, 1997 - September 12, 1997

MINT BROKERS

CRD#: 13681

NEW YORK, NY

Past

February 17, 1995 - February 6, 1997

INTERCAPITAL SECURITIES LLC

CRD#: 20004

JERSEY CITY, NJ

Past

November 23, 1994 - February 6, 1997

GARBAN CAPITAL MARKETS LLC

CRD#: 19738

JERSEY CITY, NJ

Past

January 23, 1992 - September 9, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(4/4/2024)

New York
(4/4/2024)

Exams

State Security Law Exam

Series 63

Date: 7/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2008

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/20/1999

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

Red Flags

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Advisor Monitoring

Firm Stability Insights

William W. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Whitsett Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPS CAPITAL LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CANTOR FITZGERALD SECURITIES

MINT BROKERS

INTERCAPITAL SECURITIES LLC

GARBAN CAPITAL MARKETS LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2008

Series 3

Date: 5/20/1999

FINRA

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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