William T. Nickles

YELLOW DOG FINANCIAL

Bolton, MA

Some features on this profile are disabled

CRD#: 2774360

Professional summary

William Terrell Nickles is a registered financial advisor currently at YELLOW DOG FINANCIAL, INC. located in Bolton, Massachusetts.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. William has worked at 7 firms and has passed the Series 66, 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 William Terrell Nickles'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

October 9, 2008 - Present

YELLOW DOG FINANCIAL, INC.

RIA

CRD#: 148307

Bolton, MA

Past

July 2, 2007 - October 7, 2008

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

ALPHARETTA, GA

Past

May 14, 2007 - October 7, 2008

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

ALPHARETTA, GA

Past

January 6, 2006 - March 9, 2007

FRONTIER SOLUTIONS, LLC

CRD#: 136102

ATLANTA, GA

Past

March 9, 2004 - May 18, 2005

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

October 17, 2003 - February 18, 2004

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

May 19, 2000 - November 13, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 18, 1996 - May 26, 2000

J.C. BRADFORD & CO.

CRD#: 1287

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

Georgia
(10/9/2008)

IAR

Massachusetts
(8/18/2015)

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: 6/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1996

General Securities Representative Examination

Current Firm

YELLOW DOG FINANCIAL, INC.

NAME 303 | YELLOW DOG FINANCIAL, INC.

CRD#: 148307 / SEC#:

Georgia

Registered Investment Advisory firm - (10/8/2008 Approved)

Massachusetts

Registered Investment Advisory firm - (8/18/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Bolton, MA

Mailing Address

Phone number

(508) 472-0279

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 21,169,327

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William T. Nickles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Terrell Nickles's CRS (Customer Relationship Summary).

Certified licenses

Experience

YELLOW DOG FINANCIAL, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

FRONTIER SOLUTIONS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

REFCO SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2007

Series 63

Date: 10/4/1996

Series 7

Date: 9/17/1996

Current Firm

YELLOW DOG FINANCIAL, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

YELLOW DOG FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors