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WD

William P. Dwyer

SAFFORD NICHOLAS H & CO
Rockport, MA 01966-1520
Some features on this profile are disabled
CRD#: 6795420
WD

Professional summary

William Parker Dwyer is a registered financial advisor currently at SAFFORD NICHOLAS H & CO INC located in Rockport, Massachusetts.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. William has worked at 1 firm and has passed the Series 65 exam.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Parker Dwyer'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®
None

Experience

Current

May 18, 2017 - Present

SAFFORD NICHOLAS H & CO INC

Office #1: 9 Cleaves Street, Rockport, MA 01966-1520
RIA
CRD#: 104740
Rockport, MA

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".
SN
SAFFORD NICHOLAS H & CO INC
SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA
Registered Investment Advisory firm - (8/2/1983 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
Massachusetts
(12/8/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/18/2017
Uniform Investment Adviser Law Examination

Current Firm

SN
SAFFORD NICHOLAS H & CO INC
SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA
Registered Investment Advisory firm - (8/2/1983 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9 Cleaves Street, Rockport, MA 01966-1520
Mailing Address
Phone number
(978) 546-2462
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NICHOLAS H. SAFFORD & CO., INC. BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts155
AUM (Assets Under Management)$ 1,871,274,012

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/14/2025
Cover Page
Report
11/14/2024
Cover Page
Report
09/08/2023
Cover Page
Report
11/15/2022
Cover Page
Report

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.

Company Information

SAFFORD NICHOLAS H & CO INC

CRD#: 104740Rockport, MA 01966-1520

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