Nicholas JEfthemis- Financial Advisor Williamsville, NY

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About Nicholas J Efthemis

Over the years we have found that when people come to us they are looking for far more than financial planning and investment management.

People call on us when they have questions and are looking for answers. They seek us out when they have complexity yet yearn for simplicity. And, perhaps most of all, people come to us to turn their uncertainty into the clarity they need to manage their financial life with confidence.

Upon working with us, our clients feel informed and empowered, they have transformed their reluctance into results and they experience service that exceeds their expectations.

We have three core beliefs that serve as the bedrock of our work:

Lead with advice

One size does not fit all

Expertise matters

Our client-focused, time-tested approach delivers customized and comprehensive wealth planning seamlessly integrated with expert investment management and a boutique style that harkens to the days when everything was hand-crafted.

If you are looking for a more modern approach to wealth management, we invite you to learn more. If you are ready to tart a conversation, let's talk.

See Disclosures

General Information

Firm Start Year

1997

No. of Employees

CRD#

2821400

Firm CRD#

6363

Name of Broker/Dealer

Leigh Baldwin and Associates

Name of Custodial Firm

Multiple

States Licensed in

NY, FL, NC, SC, MO

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

As a CERTIFIED FINANCIAL PLANNER^™ (CFP ^®), Nick is a recognized leader in helping clients align their finances with their life goals through modern wealth management.

His experience spans well over two decades and his expertise in retirement, investment and comprehensive planning solutions help ensure clients get the clarity, advice and support they need to make the most of their wealth.

His deep expertise combined with a truly personable approach is what sets Nick apart from a typical financial advisor. Nick believes that money is an important tool, and that modern wealth management is about aligning your resources and behavior with your goals. He serves as a trusted advisor who understands, cares about and is committed to helping you achieve the goals, experiences and outcomes that matter most to you.

Work with the following types of clients

Individual Investors, Businesses, Non-Profit Organizations

Compliance

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP^®, CRPS^®

Securities Licenses

Series 66, Series 7, Series 65

Insurance and Annuity Licenses

Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Accident, Disability

Financial Organization Memberships

National Association of Insurance and Financial Advisors (NAIFA)

Firm Information

Firm's Number of Clients

Firm's Number of Planning Clients

Firm's Number of Managed Clients

Assets Managed by Firm

$110,000,000

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

$75,000,000

Compensation and Fees

Fee Structure

Fee-Only

Minimum Portfolio Size for New Managed Accounts

$100,000

Compensation Methods

Based on Assets, Flat Fee

Fee % Based on Assets

.5%-1.5%

Hourly Rate

Flat Fee Rate

Varies

Additional Details on Charges

Financial planning fees are based on the complexity of the client's financial picture. Asset management fees vary by complexity, account size, and determined in a collective manner with the clients.

Minimum Fee Charged for Managed Accounts

Minimum Fee Charged for Hourly Planning Accounts

Minimum Fee Charged for Flat Fee Accounts

$500

Disclosures

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Additional Detailed Disclosures
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Paladin Research Report For:

Nicholas J Efthemis

Emergent Wealth Advisors, LLC