Richard M. Nickerson

EAGLE FINANCIAL STRATEGIES

Bangor, ME 04401

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CRD#: 3245645

Professional summary

Richard Miller Nickerson, AIF®, who also goes by Richard M Nickerson, is a registered financial advisor currently at EAGLE FINANCIAL STRATEGIES located in Bangor, Maine.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard M Nickerson

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.

12/28/2017 - No Business Name - Investment Related - Bangor, Maine - Real Estate Rental - Started 07/27/2016 - 1 Hours Per Month/0 Hours During Securities Trading - Condominium unit.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Miller Nickerson'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 15, 2019 - Present

EAGLE FINANCIAL STRATEGIES

Office #1: One Cumberland Place Suite 204, Bangor, ME 04401

RIA

CRD#: 4302

PORTLAND, ME

Past

July 7, 1999 - September 29, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

EAGLE FINANCIAL STRATEGIES

ALPHA CAPITAL ADVISORS, INC | EAGLE FINANCIAL STRATEGIES | ALPHA CAPITAL ADVISORS, INC. | ALPHA CAPITAL ADVISORS, INC DBA EAGLE FINANCIAL STRATEGIES

CRD#: 138825 / SEC#: 801-120376

RIA

Registered Investment Advisory firm - (2/24/2021 Approved)

Florida

Registered Investment Advisory firm - (3/1/2021 Terminated)

Maine

Registered Investment Advisory firm - (4/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - (3/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2021 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

Florida
(3/2/2021)

IAR

Maine
(2/15/2019)

IAR

Texas
(5/28/2020)

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: 7/19/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/1999

General Securities Representative Examination

Current Firm

EAGLE FINANCIAL STRATEGIES

ALPHA CAPITAL ADVISORS, INC | EAGLE FINANCIAL STRATEGIES | ALPHA CAPITAL ADVISORS, INC. | ALPHA CAPITAL ADVISORS, INC DBA EAGLE FINANCIAL STRATEGIES

CRD#: 138825 / SEC#: 801-120376

RIA

Registered Investment Advisory firm - (2/24/2021 Approved)

Florida

Registered Investment Advisory firm - (3/1/2021 Terminated)

Maine

Registered Investment Advisory firm - (4/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - (3/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2021 Terminated)

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Contact information

Main Address

One Cumberland Place Suite 204, Bangor, ME 04401

Mailing Address

Phone number

(207) 989-5522

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (2/27/2025)

FORM ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	497
AUM (Assets Under Management)	$ 129,696,230

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

Richard M. Nickerson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Miller Nickerson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

BANGOR SECURITIES, INC.

BANGOR SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BANGOR SECURITIES, INC.

BANGOR SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

EAGLE FINANCIAL STRATEGIES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/6/1999

Current Firm

EAGLE FINANCIAL STRATEGIES

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EAGLE FINANCIAL STRATEGIES

TRUST BUT VERIFY

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