Nicholas R. Winters

WINTERS FINANCIAL GROUP

Westlake Village, CA 91361

Some features on this profile are disabled

CRD#: 6653236

Professional summary

Nicholas Robert Winters, CFP®, who also goes by Nicholas Winters, Nick Winters, is a registered financial advisor currently at WINTERS FINANCIAL GROUP, INC. located in Westlake Village, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Winters | Nick Winters

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.) WINTERS FINANCIAL GROUP - 7/16/21 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Invt Advisor, Work with clients on their financial planning, Invt Rel, IAR Business, 200 hrs/mo; 200 hrs/mo (during trading hours). 2.) INDEPENDENT INSURANCE AGENT - 08/16/2021 - 6720 N 14th Dr, Phoenix AZ 85013 - Financial Advisor, Financial Advisor helping clients with life/DI and LTC insurance needs, Insurance business, Not Investment Related, 10 hrs/mo; 10 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Winters'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

August 3, 2021 - Present

WINTERS FINANCIAL GROUP, INC.

Office #1: 2659 Townsgate Rd. #213, Westlake Village, CA 91361

RIA

CRD#: 309549

Westlake Village, CA

Current

August 16, 2021 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

February 5, 2021 - August 11, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

October 11, 2018 - August 11, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

WINTERS FINANCIAL GROUP, INC.

CRD#: 309549 / SEC#: 801-121556

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

California

Registered Investment Advisory firm - (9/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/5/2021 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.

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
(8/18/2021)

IAR

Arizona
(8/18/2021)

IAR

California
(8/3/2021)

California
(8/16/2021)

Connecticut
(1/3/2023)

Florida
(1/3/2023)

Massachusetts
(1/3/2023)

North Dakota
(1/3/2023)

IAR

Texas
(10/28/2021)

Washington
(4/10/2025)

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: 2/3/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/17/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WINTERS FINANCIAL GROUP, INC.

CRD#: 309549 / SEC#: 801-121556

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

California

Registered Investment Advisory firm - (9/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/5/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2659 Townsgate Rd. #213, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 497-1717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINTERS FINANCIAL GROUP ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 202,293,721

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.

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas R. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

WINTERS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2021

Series 63

Date: 10/17/2018

SIE

Date: 10/12/2018

Series 7

Date: 10/10/2018

FINRA

Current Firm

WINTERS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTERS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors