Nicholas F. Safrit

WESTHILL FINANCIAL ADVISORS

San Rafael, CA 94901

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CRD#: 4886742

Professional summary

Nicholas Faison Safrit, CFP®, who also goes by Nico Safrit, is a registered financial advisor currently at WESTHILL FINANCIAL ADVISORS, INC. located in San Rafael, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Nicholas has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nico Safrit

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 Nicholas Faison Safrit'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

March 26, 2020 - Present

WESTHILL FINANCIAL ADVISORS, INC.

Office #1: 999 Fifth Ave., Suite 300, San Rafael, CA 94901

RIA

CRD#: 152506

San Rafael, CA

Past

July 13, 2018 - March 12, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

September 16, 2014 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

LARKSPUR, CA

Past

September 11, 2014 - March 10, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LARKSPUR, CA

Past

June 21, 2010 - September 8, 2014

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 139887

GREENVILLE, SC

Past

June 18, 2010 - September 8, 2014

FINTRUST BROKERAGE SERVICES, LLC

CRD#: 41608

CHARLESTON, SC

Past

May 18, 2005 - June 28, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MT PLEASANT, SC

Past

May 18, 2005 - June 28, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

MT PLEASANT, SC

Past

March 8, 2005 - April 12, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

CHEVY CHASE, MD

Past

January 6, 2005 - April 12, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 6, 2005 - April 12, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

WESTHILL FINANCIAL ADVISORS, INC.

TADDEI, LUDWIG & ASSOCIATES, INC. | WESTHILL FINANCIAL ADVISORS, INC.

CRD#: 152506 / SEC#: 801-71005

RIA

Registered Investment Advisory firm - (1/21/2010 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.

Highlighted states indicate IAR registrations

IAR

California
(3/26/2020)

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: 1/21/2005

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: 1/5/2005

General Securities Representative Examination

Current Firm

WESTHILL FINANCIAL ADVISORS, INC.

TADDEI, LUDWIG & ASSOCIATES, INC. | WESTHILL FINANCIAL ADVISORS, INC.

CRD#: 152506 / SEC#: 801-71005

RIA

Registered Investment Advisory firm - (1/21/2010 Approved)

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Contact information

Main Address

999 Fifth Ave., Suite 300, San Rafael, CA 94901

Mailing Address

Phone number

(415) 456-2292

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTHILL FINANCIAL FORM ADV PART 2A AND PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,212
AUM (Assets Under Management)	$ 684,408,148

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 F. Safrit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Faison Safrit's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

FINTRUST BROKERAGE SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

WESTHILL FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2005

Current Firm

WESTHILL FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTHILL FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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