PN
Paul D. Nixon
LGT WEALTH MANAGEMENT US LIMITED
London, EC3V 3NR
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CRD#: 6092162
PN
Professional summary
Paul David Nixon MR., who also goes by Paul David Nixon, is a registered financial advisor currently at LGT WEALTH MANAGEMENT US LIMITED .
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Paul has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul David Nixon
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.
MR. NIXON CURRENTLY REMAINS REGISTERED AS A UK FINANCIAL CONDUCT AUTHORITY ("FCA") CONTROLLED FUNCTION 30 (CUSTOMER FUNCTION) FOR VESTRA WEALTH LLP (100% OWNER AND CONTROLLER OF VESTRA US WEALTH MANAGEMENT LIMITED). VESTRA WEALTH LLP IS A PRIVATE WEALTH INVESTMENT MANAGER AND UNDERTAKES INVESTMENT RELATED BUSINESS.
VESTRA WEALTH LLP HAS TAKEN A VIEW THAT ANY CLIENT WHO HAS ANY KIND OF US NEXUS BE TRANSFERRED TO VESTRA US WEALTH MANAGEMENT LIMITED. AS VESTRA WEALTH LLP WAS, HISTORICALLY, MR. NIXON'S EMPLOYER, THE FCA REGISTRATION HAS REMAINED WHILST HE LIAISES WITH SUCH US-CONNECTED CLIENTS WHO REMAIN WITHIN THE VESTRA WEALTH LLP BUSINESS. IT IS ANTICIPATED THAT ALL CLIENTS WILL HAVE MIGRATED TO VESTRA US WEALTH MANAGEMENT BY JANUARY 31, 2015 AT WHICH TIME THE FCA PERMISSIONS IN RESPECT OF VESTRA WEALTH LLP WILL BE WITHDRAWN.
MR. NIXON SPENDS APPROXIMATELY 20 HOURS PER MONTH SPEAKING WITH AND ARRANGING THE NECESSARY ACCOUNT TRANSFER PAPERWORK IN RESPECT OF LEGACY VESTRA WEALTH LLP CLIENTS. MR. NIXON DOES NOT PROVIDE INVESTMENT ADVISORY SERVICES TO CLIENTS OF VESTRA WEALTH LLP AND HOLDS THE CONTROLLED FUNCTION 30 SOLELY TO ALLOW HIM TO LIAISE WITH CLIENTS OF VESTRA WEALTH LLP PRIOR TO THEIR TRANSFER TO VESTRA US WEALTH MANAGEMENT LIMITED.
CRS (Client Relationship Summary) - RIA
Click below to view Paul David Nixon MR.'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®
NoneExperience
Current
January 9, 2015 - Present
LGT WEALTH MANAGEMENT US LIMITED
Office #1: 14 Cornhill, London, EC3V 3NRRIA
CRD#: 164190
London,
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".
LW
LGT WEALTH MANAGEMENT US LIMITED
LGT VESTRA US LIMITED | VESTRA US WEALTH MANAGEMENT LTD | LGT WEALTH MANAGEMENT US LIMITED
CRD#: 164190 / SEC#: 801-77580
RIA
Registered Investment Advisory firm - (2/7/2013 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
Texas(1/9/2015)
Exams
Current Firm
LW
LGT WEALTH MANAGEMENT US LIMITED
LGT VESTRA US LIMITED | VESTRA US WEALTH MANAGEMENT LTD | LGT WEALTH MANAGEMENT US LIMITED
CRD#: 164190 / SEC#: 801-77580
RIA
Registered Investment Advisory firm - (2/7/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 Cornhill, London, EC3V 3NR
Mailing Address
Phone number
+44 203 207 8000
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,805 |
| AUM (Assets Under Management) | $ 1,438,498,773 |
Red Flags
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