Nicholas Winters is a CFP-designated registered investment advisor, based in Phoenix, AZ, with 7 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Phoenix, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas works as an investment advisor at Winters Financial Group, dedicating full-time hours to working with clients on their financial planning. He is also an independent insurance agent, helping clients with life, disability, and long-term care insurance needs, which takes a few hours per week.
Employment History
Current Registrations
The Leaders Group, INC.
The Leaders Group, INC.Broker
Winters Financial Group, INC.
Previous Registrations
Vanguard Advisers, INC.
Vanguard Marketing CorporationBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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