Mark W. Nichols

OSAIC WEALTH

Andover, MA 01810

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CRD#: 4982402

Professional summary

Mark William Nichols is a registered financial advisor currently at OSAIC WEALTH, INC. located in Andover, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 6 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. LANDMARK FIN SVCS GRP LLC; 10 NEW ENGLAND BUS CTR DR #301 ADOVER MA 01810; SELL/SERV FA; NON-VL; AGENT; 07/19/12; 2 HR/MO; 2 HR/MO DURING TRADING; RECOMMEND IF SUITABLE. 2. NICHOLS & COMPANY CPA PC POS: Owner/Pres NATURE: Acct /Tax Bus INVESTMENT RELATED: No # OF HRS: 175 SECURITIES TRADING HRS: 125 START DATE: 11/01/00 ADDY: 10 NEW ENG BUS CTR DR, Ste 301, ANDOVER MA 01810; Performs Acct /Tax Services 3. GB NICHOLS IRR TRUST KYLE J NICHOLS; Ttee; INV: Yes; HRS: 1; SEC HRS: 1; 4/20/16; 121 Old Cart Way, N Andover MA 01845; manage trust 4. GB NICHOLS IRR TRUST TAYLOR G NICHOLS; Ttee; INV: Yes; HRS: 1; SEC HRS: 1; 4/20/16; 121 Old Cart Way, N Andover MA 01845; manage trust 5. GB NICHOLS IRR TRUST JORDAN L NICHOLS; Ttee; INV: Yes; HRS: 1; SEC HRS: 1; 4/20/16; 121 Old Cart Way, N Andover MA 01845; manage trust 6. WILLIAM E NICHOLS 3-YR QUAL PERSONAL RESID TRUST; Ttee; INV: Yes; HRS: 1; SEC HRS: 1; 01/15/2014; 10 New England Bus Ctr Dr 301, ANDOVER MA 01810; manage trust 7. GB NICHOLS TRUST - 5-Year QPRT; Position: Trustee; Investment related: Yes; HRS: 1; SEC: 1; 1/15/2014; 10 New England Bus Ctr Dr 301, Andover, Massachusetts 01810; Description: I manage the residence that is owned by the trust. 8. WE NICHOLS RESIDUARY TR UAD 10/04/95 POSITION: Trustee NATURE: This is my father's trust created after his death. INVESTMENT RELATED: Yes NUMBER OF HRS: 10 SEC HRS: 10 START I am the trustee of the trust. The trustee has broad powers to make decisions for the trust, which includes investment decisions. I have been the IAR for many years and receive compensation from this trust. 9. LANDMARK MEDICAL STAFFING LLC POSITION: Manager/Member NATURE: It is an LLC that will be taxed as an S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/16/2021; ADDRESS: 10 NEW ENG BUS CTR DR # 301, Andover MA 01810, United States; DESCRIPTION: I will help manage a team of traveling nurses that we provide to hospitals. 10. PIKE SCHOOL - MEMBER INVESTMENT COMMITTEE PLA POSITION: Member NATURE: Committee INVESTMENT RELATED: Yes # OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 8/5/24 ADDRESS: 34 Sunset Rock Rd, Andover MA 01810 DESCRIPTION: Investment Committee selects/meets with the outside advisory firm that oversees the investing activities of Endowment Funds.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Nichols's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark William Nichols'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®

None

Experience

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 10 New England Business Ctr Dr Ste 301, Andover, MA 01810

RIA

CRD#: 23131

Andover, MA

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 10 New England Business Ctr Dr Ste 301, Andover, MA 01810

RIA

CRD#: 23131

Andover, MA

Past

May 31, 2012 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

ANDOVER, MA

Past

August 13, 2008 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ANDOVER, MA

Past

January 26, 2007 - August 12, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

ANDOVER, MA

Past

November 29, 2005 - August 12, 2008

LPL FINANCIAL LLC

CRD#: 6413

ANDOVER, MA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Arizona
(8/11/2025)

California
(1/19/2024)

Connecticut
(1/19/2024)

IAR

Connecticut
(1/19/2024)

Florida
(1/19/2024)

IAR

Florida
(1/19/2024)

Maine
(1/19/2024)

IAR

Maine
(1/19/2024)

Maryland
(2/1/2024)

Massachusetts
(1/19/2024)

IAR

Massachusetts
(1/19/2024)

New Hampshire
(1/19/2024)

IAR

New Hampshire
(1/19/2024)

New Jersey
(1/19/2024)

IAR

New Jersey
(1/19/2024)

New York
(1/19/2024)

North Carolina
(6/2/2025)

Pennsylvania
(1/19/2024)

Washington
(1/24/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/22/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/28/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Mark W. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Nichols's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark William Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2012

Series 65

Date: 5/22/2012

Series 63

Date: 11/28/2005

SIE

Date: 10/1/2018

Series 6

Date: 11/28/2005

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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