Nicholas J. Efthemis

EMERGENT WEALTH ADVISORS

Williamsville, NY 14221

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CRD#: 2821400

Professional summary

Nicholas John Efthemis, CFP® is a registered financial advisor currently at EMERGENT WEALTH ADVISORS, LLC located in Williamsville, New York.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Nicholas has worked at 6 firms and has passed the Series 63, SIE 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.

1)SOLE PROPRIETOR, INSURANCE AGENT; INVESTMENT RELATED; WILLIAMSVILLE, NY; INSURANCE SALES; START DATE 01/1997; INSURANCE AGENT; APPROX 2 HRS/MONTH, 0 HRS DURING SECURITIES TRADING; SELL INSURANCE PRODUCTS 2)LEIGH BALDWIN AND CO.; REGISTERED REPRESENTATIVE; INVESTMENT RELATED; WILLIAMSVILLE, NY; START DATE 06/2017; APPROX 2 HRS/MONTH, 1 HRS DURING SECURITIES TRADING 3)PALERMO DEVELOPMENTS LLC, RENTAL PROPERTY SOLE OWNER, AMHERST, NY; START DATE 03/2021; 5 HRS PER MONTH, 0 DURING SECURTITIES TRADING, NON INVESTMENT RELATED. 4) NICHOLAS EFTHEMIS; 0 HRS /MONTH, 0 HRS DURING SECURITIES TRADING; 50% OWNER OF EMERGENT WEALTH ADVISORS, LLC; START DATE 01/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Efthemis'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

April 8, 2021 - Present

EMERGENT WEALTH ADVISORS, LLC

Office #1: 5500 Main Street, Suite 260, Williamsville, NY 14221

RIA

CRD#: 174845

Williamsville, NY

Past

June 30, 2017 - May 9, 2025

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Williamsville, NY

Past

February 16, 2010 - December 31, 2015

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

January 29, 2010 - June 30, 2017

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Williamsville, NY

Past

November 14, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 14, 1996 - February 4, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WILLIAMSVILLE, NY

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".

EMERGENT WEALTH ADVISORS, LLC

CORNERSTONE FINANCIAL PLANNING LLC | EMERGENT WEALTH ADVISORS, LLC

CRD#: 174845 / SEC#: 801-106909

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

New York

Registered Investment Advisory firm - (11/16/2015 Terminated)

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).

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

New York
(4/8/2021)

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: 11/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1996

General Securities Representative Examination

Current Firm

EMERGENT WEALTH ADVISORS, LLC

CORNERSTONE FINANCIAL PLANNING LLC | EMERGENT WEALTH ADVISORS, LLC

CRD#: 174845 / SEC#: 801-106909

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

New York

Registered Investment Advisory firm - (11/16/2015 Terminated)

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Contact information

Main Address

5500 Main Street, Suite 260, Williamsville, NY 14221

Mailing Address

Phone number

(716) 828-8390

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 ADV2A AND 2B (1/9/2025)

Regulatory assets under management

Total Number of Accounts	901
AUM (Assets Under Management)	$ 202,893,297

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas J. Efthemis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Efthemis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EMERGENT WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/18/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1996

Current Firm

EMERGENT WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMERGENT WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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