Nicholas R. Walton

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CRD#: 4290576

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas Robert Walton was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2000. Nicholas had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 3, 2010 - July 6, 2020

MFS INSTITUTIONAL ADVISORS INC.

RIA

CRD#: 107144

BOSTON, MA

Past

February 14, 2006 - July 6, 2020

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

June 10, 2004 - February 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 6, 2003 - February 23, 2004

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

August 15, 2002 - November 7, 2002

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

April 18, 2001 - January 9, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 15, 2000 - April 4, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

MFS INSTITUTIONAL ADVISORS INC.

CRD#: 107144 / SEC#: 801-46433

RIA

Registered Investment Advisory firm - (5/6/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/12/2000

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: 11/14/2000

General Securities Representative Examination

Current Firm

MFS INSTITUTIONAL ADVISORS INC.

CRD#: 107144 / SEC#: 801-46433

RIA

Registered Investment Advisory firm - (5/6/1994 Approved)

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Contact information

Main Address

111 Huntington Avenue, Boston, MA 02199-7618

Mailing Address

Phone number

(617) 954-5000

Established

Firm type

Fiscal year end

# of Employees

1,331

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFSI BROCHURE (9/26/2025)

SUMMARY OF MATERIAL CHANGES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	10,260
AUM (Assets Under Management)	$ 111,845,233,320

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

Nicholas R. Walton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MFS FUND DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

MFS INSTITUTIONAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2000

Current Firm

MFS INSTITUTIONAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MFS INSTITUTIONAL ADVISORS INC.

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