WN
William R. Nixon
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CRD#: 2193097
WN
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.
William Randolph Nixon, who also goes by Randy Nixon, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Randy Nixon
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FIXED INSURANCE;
START DATE: 02/2003;
APX NUMBER OF HOURS PER WEEK: LESS THAN 1;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES AND LONG-TERM CARE;
2. NAME OF OTHER BUSINESS: ALEXANDER BLAIRE FINANCIAL CONSULTING, LLC:
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 10/2019;
POSITION/TITLE/RELATIONSHIP: OWNER - WEALTH MANAGER
APX NUMBER OF HOURS PER WEEK: 40+;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, ADMINISTRATIVE WORK, CLIENT AND ACCOUNT SERVICING;
3. NAME OF OTHER BUSINESS: ROTARY CLUB OF EAST COBB;
INVESTMENT RELATED: NO;
ADDRESS: MARIETTA, GA;
NATURE OF BUSINESS: CIVIC ORGANIZATION;
START DATE: 7/2020;
POSITION/TITLE/RELATIONSHIP: BOARD MEMBER:
APX NUMBER OF HOURS PER WEEK: 6;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: VOTE ON NEW MOTIONS,ASSIST WITHIN THE LOCAL COMMUNITY, REVIEW BY-LAWS;
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®
NoneExperience
Past
July 7, 2025 - October 27, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ATLANTA, GA
Past
July 7, 2025 - October 27, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ATLANTA, GA
Past
March 22, 2023 - July 9, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ROSWELL, GA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ROSWELL, GA
Past
September 20, 2019 - July 9, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ROSWELL, GA
Past
June 12, 2006 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ROSWELL, GA
Past
June 8, 2006 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ROSWELL, GA
Past
June 21, 2004 - May 26, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROSWELL, GA
Past
June 21, 2004 - May 26, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
ROSWELL, GA
Past
March 7, 2003 - July 6, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
August 14, 2000 - July 6, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 14, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
May 5, 1992 - April 10, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
March 13, 1992 - March 30, 1992
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
