NH
Nicholas P. Hartley
WINDWARD PRIVATE WEALTH MANAGEMENT
Kansas City, MO 64116
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CRD#: 7490223
NH
Professional summary
Nicholas Paul Hartley is a registered financial advisor currently at WINDWARD PRIVATE WEALTH MANAGEMENT INC. located in Kansas City, Missouri.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nicholas 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.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Paul Hartley'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
April 29, 2022 - Present
WINDWARD PRIVATE WEALTH MANAGEMENT INC.
Office #1: 851 Nw 45th Street Suite 106, Kansas City, MO 64116RIA
CRD#: 113761
Kansas City, MO
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".
WP
WINDWARD PRIVATE WEALTH MANAGEMENT INC.
WINDWARD FINANCIAL PLANNING, INC. | WINDWARD PRIVATE WEALTH MANAGEMENT INC.
CRD#: 113761 / SEC#: 801-79647
RIA
Registered Investment Advisory firm - (5/12/2014 Approved)Kansas
Registered Investment Advisory firm - (5/14/2014 Terminated)Missouri
Registered Investment Advisory firm - (5/14/2014 Terminated)Texas
Registered Investment Advisory firm - (5/14/2014 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.Highlighted states indicate IAR registrations
IAR
Kansas(4/29/2022)
IAR
Missouri(4/29/2022)
IAR
Texas(10/4/2023)
Current Firm
WP
WINDWARD PRIVATE WEALTH MANAGEMENT INC.
WINDWARD FINANCIAL PLANNING, INC. | WINDWARD PRIVATE WEALTH MANAGEMENT INC.
CRD#: 113761 / SEC#: 801-79647
RIA
Registered Investment Advisory firm - (5/12/2014 Approved)Kansas
Registered Investment Advisory firm - (5/14/2014 Terminated)Missouri
Registered Investment Advisory firm - (5/14/2014 Terminated)Texas
Registered Investment Advisory firm - (5/14/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10955 Lowell Avenue Suite 410, Overland Park, KS 66210
Mailing Address
Phone number
(913) 381-7411
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 937 |
| AUM (Assets Under Management) | $ 273,799,475 |
Red Flags
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Company Information
WINDWARD PRIVATE WEALTH MANAGEMENT INC.
CRD#: 113761Kansas City, MO 64116TRUST BUT VERIFY
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