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William Whitsett Nichols

PHX Financial, Inc.

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About William Whitsett Nichols

William Nichols is a financial professional with over 24 years of experience in the securities industry. William is currently registered with Phx Financial, Inc. and is licensed in Florida and New York. William has a strong background in a variety of financial markets, including equities, options, and futures. Previously William has worked at LPS CAPITAL LLC, ICAP CORPORATES LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CANTOR FITZGERALD SECURITIES, CANTOR FITZGERALD PARTNERS, GARBAN SECURITIES GP, GARVIN GUYBUTLER GP and LEHMAN BROTHERS INC. William is committed to providing his clients with personalized financial advice and guidance.

Firm Information

William Nichols is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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William Nichols’s Registration & Firm History

FL

04/04/2024 - Present

PHX Financial, Inc. (Fort Lauderdale FL)

NY

10/02/2019 - 04/03/2024

LPS CAPITAL LLC (NEW YORK NY)

NY

07/25/2008 - 10/09/2019

ICAP CORPORATES LLC (NEW YORK NY)

NY

04/25/1999 - 07/24/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

02/04/1997 - 09/12/1997

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

NY

02/02/1997 - 09/12/1997

CANTOR FITZGERALD PARTNERS (NEW YORK NY)

NJ

02/17/1995 - 02/06/1997

GARBAN SECURITIES GP (JERSEY CITY NJ)

NJ

11/23/1994 - 02/06/1997

GARVIN GUYBUTLER GP (JERSEY CITY NJ)

NY

01/23/1992 - 09/09/1994

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/25/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/24/2008

Series 7 - General Securities Representative Examination

BC

Issued 05/20/1999

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Whitsett Nichols.
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