NS
Nicholas T. Stafford
ARKADIOS WEALTH ADVISORS
Atlanta, GA
Some features on this profile are disabled
CRD#: 2900449
NS
Professional summary
Nicholas Thomas Stafford IV, who also goes by Nicholas Thomas Lance, Lance Stafford, Nicholas Thomas Stafford IV, is a registered financial advisor currently at ARKADIOS WEALTH ADVISORS located in Atlanta, Georgia and ARKADIOS CAPITAL located in Atlanta, Georgia.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicholas has worked at 11 firms and has passed the Series 63, Series 65, Series 22TO, Series 82TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Thomas Lance | Lance Stafford | Nicholas Thomas Stafford Iv
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. PERCH WEALTH-INVESTMENT RELATED; 9940 RESEARCH DRIVE, #200 IRVINE, CA 92618; MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE ; VICE PRESIDENT; SALES AND MARKETING OF DST AND OTHER RELATED PRIVATE REAL ESTATE INVESTMENTS. 6.5 HOURS A DAY DURING SECURITIES TRADING HOURS; 03/22 2. CONTIGER VENTURES, LLC-INVESTMENT RELATED; 3225 VERDUN DRIVE NW ATLANTA , GA 30305; SINGLE MEMBER LLC ESTABLISHED FOR TAX PURPOSES RELATED TO NICHOLAS T STAFFORD'S MARKETING ACTIVITIES AS AN INDEPENDENT CONTRACTOR AT EMERSON EQUITY; MANAGING MEMBER; SALES AND MARKETING OF REAL ESTATE-TYPE OF INVESTMENTS 32.5 HOURS A WEEK DURING SECURITIES TRADING HOURS; 05/2019
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Thomas Stafford IV'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®
NoneExperience
Current
July 27, 2023 - Present
ARKADIOS WEALTH ADVISORS
RIA
CRD#: 288863
Atlanta, GA
Current
July 20, 2023 - Present
ARKADIOS CAPITAL
Office #1: 2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305BD
CRD#: 282710
Atlanta, GA
Past
April 8, 2022 - July 21, 2023
EMERSON EQUITY LLC
RIA
CRD#: 130032
ATLANTA, GA
Past
April 7, 2022 - July 21, 2023
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
January 10, 2020 - March 3, 2022
BRIDGE CAPITAL ASSOCIATES, INC.
BD
CRD#: 143475
NORCROSS, GA
Past
August 23, 2017 - April 25, 2019
SIGNATUREFD, LLC
RIA
CRD#: 112758
ATLANTA, GA
Past
January 19, 2016 - July 18, 2017
CAPITAL BANK AND TRUST COMPANY
RIA
CRD#: 170017
IRVINE, CA
Past
September 18, 2014 - January 19, 2016
CAPITAL GUARDIAN TRUST COMPANY
RIA
CRD#: 108236
ATLANTA, GA
Past
April 9, 2013 - November 4, 2013
ZELMAN PARTNERS, LLC
BD
CRD#: 145187
BAY VILLAGE, OH
Past
March 4, 2002 - February 25, 2013
KEEFE, BRUYETTE & WOODS, INC.
BD
CRD#: 481
ATLANTA, GA
Past
November 10, 1999 - February 28, 2002
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
September 22, 1997 - October 6, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, 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".
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
Registered Investment Advisory firm - (7/17/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/20/2023)
RR
Arkansas(7/20/2023)
RR
California(7/20/2023)
RR
Colorado(7/20/2023)
RR
Connecticut(7/20/2023)
RR
Florida(7/20/2023)
RR
Georgia(7/20/2023)
IAR
Georgia(7/27/2023)
RR
Indiana(7/20/2023)
RR
Kentucky(7/20/2023)
RR
Louisiana(7/20/2023)
RR
Maine(9/12/2023)
RR
Massachusetts(8/29/2023)
RR
Michigan(9/26/2023)
RR
Mississippi(7/20/2023)
RR
Missouri(7/20/2023)
RR
Nebraska(10/24/2023)
RR
New Jersey(7/20/2023)
RR
New York(7/20/2023)
RR
North Carolina(7/20/2023)
RR
Ohio(10/18/2023)
RR
Oklahoma(12/7/2023)
RR
Oregon(7/20/2023)
RR
Pennsylvania(7/20/2023)
RR
Rhode Island(7/20/2023)
RR
South Carolina(7/20/2023)
RR
Tennessee(7/20/2023)
RR
Texas(7/20/2023)
RR
Virginia(7/20/2023)
RR
West Virginia(8/29/2023)
RR
Wisconsin(9/18/2024)
RR
Wyoming(7/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 4/11/2022
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/10/2020
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
Registered Investment Advisory firm - (7/17/2017 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
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
Phone number
(404) 445-0035
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,091 |
| AUM (Assets Under Management) | $ 3,856,398,203 |
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.
