Leroy Harrison Nickels III | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Leroy Harrison Nickels III, who also goes by Leroy Harrison Nickels, was a registered financial professional .

Leroy is a previously registered financial professional and started their career in finance in 1984. Leroy had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Leroy Harrison Nickels

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 30, 2016 - August 7, 2019

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

Columbus, MS

Past

September 8, 2009 - April 3, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLUMBUS, MS

Past

September 8, 2009 - April 3, 2018

LPL FINANCIAL LLC

BD

CRD#: 6413

COLUMBUS, MS

Past

July 7, 2005 - September 8, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

COLUMBUS, MS

Past

June 21, 2005 - September 8, 2009

MUTUAL SERVICE CORPORATION

BD

CRD#: 4806

COLUMBUS, MS

Past

January 1, 1997 - July 7, 2005

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

COLUMBUS, MS

Past

October 20, 1993 - July 2, 2003

BTS ASSET MANAGEMENT, INC.

RIA

CRD#: 105215

COLUMBUS, MS

Past

March 20, 1991 - July 6, 2005

FFP SECURITIES, INC.

BD

CRD#: 16337

CHESTERFIELD, MO

Past

December 9, 1985 - March 22, 1991

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

August 29, 1984 - December 9, 1985

FSC SECURITIES CORPORATION

BD

CRD#: 7461

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".

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

Series 63

Date: 11/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 4/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 8/20/1984

General Securities Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 10/13/1975

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 12/16/1997

General Securities Principal Examination

Current Firm

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

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Contact information

Main Address

8985 E. Bell Road, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 604-0600

Established

Firm type

Fiscal year end

# of Employees

25

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS - WRAP PROGRAM (3/26/2025)

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,804
AUM (Assets Under Management)	$ 277,447,180

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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Advisor Monitoring

Firm Stability Insights

Leroy H. Nickels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

FFP ADVISORY SERVICES INC

BTS ASSET MANAGEMENT, INC.

FFP SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1993

SIE

Date: 4/3/2018

Series 7

Date: 8/20/1984

Series 1

Date: 10/13/1975

Series 24

Date: 12/16/1997

Current Firm

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

TRUST BUT VERIFY

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