William Terrell Nickles

Employer firm

Yellow Dog Financial, Inc. CRD 148307

$25.7M regulatory AUM 4 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Yellow Dog Financial, Inc.

Bolton, MA • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2015-08-18
GA	RA	APPROVED	2008-10-09

MA RA
APPROVED

Since 2015-08-18
GA RA
APPROVED

Since 2008-10-09

Branch Locations

Bolton, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Yellow Dog Financial, Inc.	Atlanta	GA	10/2008	Present

10/2008 → Present

Yellow Dog Financial, Inc.

Atlanta, GA

Previous Registrations

2007-07-02 → 2008-10-07

Robert W. Baird & Co. Incorporated

Atlanta North Point, GA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-27
S63	Uniform Securities Agent State Law Examination	1996-10-04

S66 Uniform Combined State Law Examination

2007-06-27
S63 Uniform Securities Agent State Law Examination

1996-10-04

View on SEC IAPD