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Detailed Report
NICHOLAS JOHN EFTHEMIS
CRD#: 2821400
IA
Investment Adviser
B
Broker
EMERGENT WEALTH ADVISORS, LLCCRD#: 174845 5500 MAIN STREET, SUITE 260
WILLIAMSVILLE, NY 14221
LEIGH BALDWIN & CO., LLCCRD#: 38751 5500 Main Street Suite 260
Williamsville, NY 14221
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAEMERGENT WEALTH ADVISORS, LLC (CRD# 174845)2021 - Present (4 years)BLEIGH BALDWIN & CO., LLC (CRD# 38751)2017 - Present (7 years)BAMERICAN PORTFOLIOS FINANCIAL ... (CRD# 18487)2010 - 2017 (7 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)1996 - 2010 (13 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1996 - 2006 (9 years)IAAMERICAN PORTFOLIOS ADVISORS, INC (CRD# 112697)2010 - 2015 (5 years)
License(s)

State Registrations

B
Florida 6/30/2017
B
New York 6/30/2017
B
Iowa 6/30/2017
IA
New York 4/8/2021
B
Maryland 6/30/2017
B
Virginia 6/30/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EMERGENT WEALTH ADVISORS, LLC (CRD#:174845)
5500 MAIN STREET, SUITE 260, WILLIAMSVILLE, NY 14221
Registered with this firm since 4/8/2021
B
LEIGH BALDWIN & CO., LLC (CRD#:38751)
5500 Main Street Suite 260, Williamsville, NY 14221
112 ALBANY STREET, CAZENOVIA, NY 13035-0660
Registered with this firm since 6/30/2017
Previous Registration(s)
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B
 01/29/2010 - 06/30/2017 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) Williamsville, NY
IA
 02/16/2010 - 12/31/2015 AMERICAN PORTFOLIOS ADVISORS, INC (CRD#:112697) HOLBROOK, NY
B
 11/14/1996 - 02/04/2010 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WILLIAMSVILLE, NY
B
 11/14/1996 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.