Roy Nichol

NICHOL CAPITAL ADVISORS

Houston, TX

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CRD#: 2570655

Professional summary

Roy Nichol, who also goes by Roy William Nichol, is a registered financial advisor currently at NICHOL CAPITAL ADVISORS, LLC located in Houston, Texas.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Roy has worked at 5 firms and has passed the Series 63, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy William Nichol

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.

Cardinal Hill Farm, LLC; Family Real Estate; Investment-related; Columbia, TN; Affiliation started on 01/18/2021; Title: Member; Duties: Pay mortgage, use a LLC checking account to carry out home improvement activities; 0 hours devoted each month during and outside securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Nichol's 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

November 18, 2021 - Present

NICHOL CAPITAL ADVISORS, LLC

RIA

CRD#: 316794

Houston, TX

Past

February 11, 2019 - September 17, 2021

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HOUSTON, TX

Past

February 11, 2019 - September 17, 2021

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Houston, TX

Past

February 8, 2019 - September 17, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HOUSTON, TX

Past

May 13, 2004 - January 16, 2019

GREYCOURT & CO., INC.

RIA

CRD#: 111936

HOUSTON, TX

Past

December 6, 2000 - July 28, 2003

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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

Texas
(11/18/2021)

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: 3/12/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/4/2022

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

Current Firm

NICHOL CAPITAL ADVISORS, LLC

NICHOL CAPITAL ADVISORS, LLC | TOUCHSTONE ADVISORS, LLC

CRD#: 316794 / SEC#:

Ohio

Registered Investment Advisory firm - (11/7/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/18/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Houston, TX

Mailing Address

P.o. Box 22921, Houston, TX 77227

Phone number

(281) 782-3837

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Roy Nichol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Nichol's CRS (Customer Relationship Summary).

Certified licenses

Experience

NICHOL CAPITAL ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

GREYCOURT & CO., INC.

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2019

Series 7TO

Date: 10/4/2022

Series 7

Date: 12/5/2000

Current Firm

NICHOL CAPITAL ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

NICHOL CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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