Tyrone R. Nichols

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CRD#: 5845724

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.

Tyrone Rle Nichols was a registered financial professional .

Tyrone is a previously registered financial professional and started their career in finance in 2010. Tyrone had worked at 2 firms and has passed the Series 66 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

October 12, 2016 - November 14, 2019

CAERUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 171716

SAN FRANCISCO, CA

Past

December 13, 2010 - April 26, 2012

WADDELL & REED

RIA

CRD#: 866

SAN DIEGO, CA

Past

November 3, 2010 - April 26, 2012

WADDELL & REED

CRD#: 866

SAN DIEGO, CA

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".

CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

California

Registered Investment Advisory firm - (5/24/2017 Terminated)

New York

Registered Investment Advisory firm - (4/24/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2017 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.

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: 12/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/2/2010

General Securities Representative Examination

Current Firm

CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

California

Registered Investment Advisory firm - (5/24/2017 Terminated)

New York

Registered Investment Advisory firm - (4/24/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2017 Terminated)

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Contact information

Main Address

West Lake Hills, TX

Mailing Address

Phone number

(650) 906-7666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (6/10/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 194,550,948

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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Tyrone R. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAERUS INVESTMENT ADVISORS, LLC

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CAERUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2010

Series 7

Date: 11/2/2010

Current Firm

CAERUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAERUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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