Wallace R. Nichols

ASSET GUIDANCE GROUP

Roswell, GA 30076

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CRD#: 5988582

Professional summary

Wallace Ray Nichols JR, CFP® is a registered financial advisor currently at ASSET GUIDANCE GROUP, LLC located in Roswell, Georgia.

Wallace is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Wallace has worked at 5 firms and has passed the Series 66, SIE and Series 7 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) Asset Guidance Group, LLC; Investment Related; Roswell, GA; Managing Member/Insurance Agent; 01/2012; 80 hours per month during trading hours. 2) WR Nichols & Associates, PC; Non-Investment Related; Roswell, GA; Attorney at Law; 11/2007; 40 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wallace Ray Nichols JR's 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: 2023

Experience

Current

April 26, 2018 - Present

ASSET GUIDANCE GROUP, LLC

Office #1: 1875 Old Alabama Road Suite 645, Roswell, GA 30076

RIA

CRD#: 291448

Roswell, GA

Past

August 24, 2016 - April 13, 2018

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Atlanta, GA

Past

September 24, 2014 - August 11, 2016

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ROSWELL, GA

Past

September 24, 2014 - August 11, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ROSWELL, GA

Past

November 23, 2011 - October 1, 2014

TRUSTEE EMPOWERMENT & PROTECTION, INC.

RIA

CRD#: 108249

ATLANTA, GA

Past

October 28, 2011 - October 1, 2014

CSSC BROKERAGE SERVICES, INC.

CRD#: 141630

ATLANTA, GA

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

Georgia
(4/26/2018)

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: 11/22/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/2011

General Securities Representative Examination

Current Firm

ASSET GUIDANCE GROUP, LLC

CRD#: 291448 / SEC#:

Georgia

Registered Investment Advisory firm - (4/26/2018 Approved)

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Contact information

Main Address

1875 Old Alabama Road Suite 645, Roswell, GA 30076

Mailing Address

Phone number

(404) 348-4120

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 27,000,000

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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Wallace R. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wallace Ray Nichols JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET GUIDANCE GROUP, LLC

FIRST ADVISORS NATIONAL, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TRUSTEE EMPOWERMENT & PROTECTION, INC.

CSSC BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2011

SIE

Date: 8/11/2016

Series 7

Date: 10/27/2011

Current Firm

ASSET GUIDANCE GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSET GUIDANCE GROUP, LLC

TRUST BUT VERIFY

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