NW
Nicholas K. Walker
WEALTHSPIRE RETIREMENT ADVISORY
Charlotte, NC 28211
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CRD#: 6333008
NW
Professional summary
Nicholas Kent Walker, CFP®, who also goes by Nick Kent Walker, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Kent Walker
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.
Business Name: NFP POSITION: Financial Advisor NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/10/2022 ADDRESS: 1901 Roxborough Road, Suite 300, Charlotte NC 28211, United States DESCRIPTION: I am part of the wealth management team for NFP. I am registered as part of their RIA, called NFP Retirement. I also have my NC insurance license for Life and Accident/Health. This would be through NFP as well. I work for NFP.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Kent Walker'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®
Experience
Current
July 21, 2022 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 1901 Roxborough Rd. Suite 300, Charlotte, NC 28211RIA
CRD#: 121254
Charlotte, NC
Current
August 22, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211BD
CRD#: 42046
Charlotte, NC
Past
August 1, 2018 - July 22, 2022
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
CHARLOTTE, NC
Past
September 15, 2015 - July 22, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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.RR
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
RR
California(3/9/2023)
RR
Florida(4/16/2024)
IAR
Florida(6/20/2024)
RR
Georgia(4/16/2024)
IAR
Georgia(4/17/2024)
RR
Hawaii(4/16/2024)
RR
Indiana(4/16/2024)
RR
Louisiana(11/6/2025)
RR
Maryland(2/5/2025)
RR
Missouri(4/28/2025)
RR
New Hampshire(7/3/2025)
IAR
North Carolina(7/21/2022)
RR
North Carolina(8/23/2022)
RR
Ohio(4/17/2024)
IAR
South Carolina(4/2/2024)
RR
South Carolina(7/29/2024)
RR
Texas(9/13/2022)
RR
Virginia(4/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
