William A. Nichols

PUREFI WEALTH

Greenwich, CT

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CRD#: 2046111

Professional summary

William Allen Nichols, who also goes by William A Nichols, is a registered financial advisor currently at PUREFI WEALTH, LLC located in Greenwich, Connecticut.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. William has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William A 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.

KINGSTON HEALTHCARE, NOT INV RELATED, TOLEDO, OH, BOARD MEMBER, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: ATTEND MEETINGS RENTAL PROPERTY; INV. RELATED; EAST HAMPTON, NY; OWNER; START DATE 8/2017; 2 HRS PER MONTH; 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen 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 22, 2024 - Present

PUREFI WEALTH, LLC

RIA

CRD#: 328459

Greenwich, CT

Past

July 12, 2017 - January 30, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENWICH, CT

Past

June 20, 2017 - January 30, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENWICH, CT

Past

December 15, 2009 - October 6, 2016

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

September 4, 2008 - December 4, 2009

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

January 16, 2002 - June 17, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 10, 2000 - October 16, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 31, 1997 - October 29, 1997

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

June 26, 1995 - January 15, 1997

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

May 22, 1990 - May 31, 1995

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

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".

PUREFI WEALTH, LLC

PUREFI WEALTH PARTNERS | PUREFI WEALTH, LLC

CRD#: 328459 / SEC#: 801-128976

RIA

Registered Investment Advisory firm - (10/30/2023 Approved)

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
(4/22/2024)

IAR

Massachusetts
(5/1/2024)

IAR

New York
(5/1/2024)

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 66

Date: 7/12/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/9/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/23/1995

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/2002

General Securities Principal Examination

Current Firm

PUREFI WEALTH, LLC

PUREFI WEALTH PARTNERS | PUREFI WEALTH, LLC

CRD#: 328459 / SEC#: 801-128976

RIA

Registered Investment Advisory firm - (10/30/2023 Approved)

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Contact information

Main Address

10 Post Office Square Suite 710, Boston, MA 02109

Mailing Address

Phone number

(617) 488-9320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PUREFI ADV BROCHURE (6/17/2025)

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 262,472,650

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

William A. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CANTOR FITZGERALD & CO.

PALI CAPITAL, INC.

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

ELECTRONIC TRADING GROUP, LLC

GOLDMAN SACHS & CO. LLC

S.G. WARBURG & CO. INC.

Primary Firm SEC Registration

PUREFI WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2017

Series 63

Date: 2/11/2000

SIE

Date: 10/1/2018

Series 55

Date: 4/24/2000

Series 7

Date: 2/9/2000

Series 3

Date: 8/23/1995

Series 24

Date: 9/4/2002

Current Firm

PUREFI WEALTH, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PUREFI WEALTH, LLC

TRUST BUT VERIFY

Contact information

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