John E. Safford

SAFFORD NICHOLAS H & CO

ROCKPORT, MA 01966

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CRD#: 2253077

Professional summary

John East Apthorp Safford is a registered financial advisor currently at SAFFORD NICHOLAS H & CO INC located in Rockport, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 2 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John East Apthorp Safford'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 14, 1994 - Present

SAFFORD NICHOLAS H & CO INC

Office #1: 9 Cleaves Street, Rockport, MA 01966

RIA

CRD#: 104740

ROCKPORT, MA

Past

August 18, 1992 - October 2, 1995

ALANTRA, LLC

CRD#: 22095

BOSTON, MA

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".

SAFFORD NICHOLAS H & CO INC

SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA

Registered Investment Advisory firm - (8/2/1983 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

Massachusetts
(4/14/1994)

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

Series 63

Date: 9/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1992

General Securities Representative Examination

Current Firm

SAFFORD NICHOLAS H & CO INC

SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA

Registered Investment Advisory firm - (8/2/1983 Approved)

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Contact information

Main Address

9 Cleaves Street, Rockport, MA 01966-1520

Mailing Address

Phone number

(978) 546-2462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NICHOLAS H. SAFFORD & CO., INC. BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 1,871,274,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/14/2025	Cover Page	Report
11/14/2024	Cover Page	Report
09/08/2023	Cover Page	Report
11/15/2022	Cover Page	Report

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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John E. Safford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John East Apthorp Safford's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAFFORD NICHOLAS H & CO INC

ALANTRA, LLC

Primary Firm SEC Registration

SAFFORD NICHOLAS H & CO INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1992

Series 7

Date: 8/17/1992

Current Firm

SAFFORD NICHOLAS H & CO INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAFFORD NICHOLAS H & CO INC

TRUST BUT VERIFY

Contact information

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