Kevin M. Nichols

NWM ADVISORS

San Luis Obispo, CA 93401

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CRD#: 2347023

Professional summary

Kevin Mark Nichols is a registered financial advisor currently at NWM ADVISORS, LLC located in San Luis Obispo, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kevin has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 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.

K2 Land Management, LLC; Not Investment Related; 4385 Santa Fe Rd, San Luis Obispo, CA 93401 - Other-Business Owner - Started 04/10/12 - 1 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Mark 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

June 6, 2016 - Present

NWM ADVISORS, LLC

Office #1: 735 Tank Farm Road Suite 250, San Luis Obispo, CA 93401

RIA

CRD#: 283714

San Luis Obispo, CA

Past

August 23, 2005 - June 20, 2007

KEVIN M NICHOLS

RIA

CRD#: 113266

SAN LUIS OBISPO, CA

Past

December 31, 1997 - November 21, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN LUIS OBISPO, CA

Past

December 12, 1996 - November 15, 2017

LPL FINANCIAL LLC

CRD#: 6413

SAN LUIS OBISPO, CA

Past

May 24, 1993 - December 19, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 24, 1993 - December 19, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

NWM ADVISORS, LLC

NW MANAGEMENT LLC | NWM ADVISORS, LLC

CRD#: 283714 / SEC#: 801-107866

RIA

Registered Investment Advisory firm - (6/6/2016 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

California
(6/6/2016)

IAR

Texas
(6/6/2016)

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: 5/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/31/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/21/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1997

General Securities Principal Examination

Current Firm

NWM ADVISORS, LLC

NW MANAGEMENT LLC | NWM ADVISORS, LLC

CRD#: 283714 / SEC#: 801-107866

RIA

Registered Investment Advisory firm - (6/6/2016 Approved)

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Contact information

Main Address

735 Tank Farm Road Suite 250, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 781-2773

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	473
AUM (Assets Under Management)	$ 293,626,427

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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Advisor Monitoring

Firm Stability Insights

Kevin M. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Mark Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEVIN M NICHOLS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NWM ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/1993

SIE

Date: 11/15/2017

Series 31

Date: 7/31/2003

Series 7

Date: 5/21/1993

Series 24

Date: 1/31/1997

Current Firm

NWM ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWM ADVISORS, LLC

TRUST BUT VERIFY

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