Nicholas H. Horsfall

DUO RETIREMENT PLANNING

GRAPEVINE, TX 76051

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CRD#: 6912840

Professional summary

Nicholas Harley Horsfall, who also goes by Nicholas H. Horsfall, Nicholas Horsfall, Nick Horsfall, is a registered financial advisor currently at DUO RETIREMENT PLANNING, LLC located in Grapevine, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Nicholas has worked at 7 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas H. Horsfall | Nicholas Horsfall | Nick Horsfall

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.

Duo Insurance & Financial Services (dba for insurance) Position: Sales Nature: Life insurance sales Investment Related: No Hours: 20 Securities Trading Hours: 0 Start Date: 02/2024 Address: 3020 Alice Ct. Grapevine TX 76051

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Harley Horsfall'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®

None

Experience

Current

January 15, 2025 - Present

DUO RETIREMENT PLANNING, LLC

Office #1: 2451 W Grapevine Mills Circle, Grapevine, TX 76051

RIA

CRD#: 330315

GRAPEVINE, TX

Past

March 15, 2024 - December 31, 2024

DUO RETIREMENT PLANNING, LLC

RIA

CRD#: 330315

GRAPEVINE, TX

Past

August 16, 2022 - February 1, 2024

ARBOR POINT ADVISORS

RIA

CRD#: 165127

SOUTHLAKE, TX

Past

August 5, 2022 - February 1, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SOUTHLAKE, TX

Past

February 4, 2021 - August 8, 2022

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Whitesboro, TX

Past

December 23, 2019 - January 4, 2021

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

WALNUT CREEK, CA

Past

July 25, 2018 - December 19, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Merced, CA

Past

February 12, 2018 - July 19, 2018

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

RIPON, CA

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
(1/15/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/2018

Uniform Investment Adviser Law Examination

Current Firm

DUO RETIREMENT PLANNING, LLC

CRD#: 330315 / SEC#:

Texas

Registered Investment Advisory firm - (1/15/2025 Approved)

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Contact information

Main Address

2451 W Grapevine Mills Circle, Grapevine, TX 76051

Mailing Address

2451 W Grapevine Mills Circle #1029, Grapevine, TX 76051

Phone number

(855) 386-4625

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Nicholas H. Horsfall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Harley Horsfall's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUO RETIREMENT PLANNING, LLC

DUO RETIREMENT PLANNING, LLC

ARBOR POINT ADVISORS

SECURITIES AMERICA ADVISORS, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

PEAK AMERICAN INVESTMENT ADVISORS, INC.

SECURE INVESTMENT MANAGEMENT, LLC

FOUNDATIONS INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2018

Current Firm

DUO RETIREMENT PLANNING, LLC

Contact information

Documents

Red Flags

Company Information

DUO RETIREMENT PLANNING, LLC

TRUST BUT VERIFY

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