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Nickolas Vernon Waggoner

The Pacific Group

Los Angeles, CA

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Current Employers
The Pacific Group

Los Angeles, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
TX RA APPROVED_RES 2023-02-27
  • CA RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2023-02-27

Branch Locations

Los Angeles, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
The Pacific Group Los Angeles CA 01/2019 Present
Pacific Advisory Group Los Angeles CA 07/2015 12/2018
  • 01/2019 → Present
    Los Angeles, CA
  • 07/2015 → 12/2018
    Pacific Advisory Group
    Los Angeles, CA
Previous Registrations
Other Businesses

1. 2nd Amendgents, LLC, OWNER, CLOTHING. 2 HRS. A MONTH. 2. PACIFIC ADVISORY GROUP, FINANCIAL CONSULTING, ANALYST, DUE DILIGENCE ON FUNDS, ACCOUNTS, AND ASSETS. START DATE AUGUST 2012, 2 HRS. A MONTH. 3. SOOTCHY, INC., FINANCIAL TECHNOLOGY. 3 HRS. A WEEK.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-18
S66 Uniform Combined State Law Examination 2014-05-29
  • S65 Uniform Investment Adviser Law Examination
    2023-01-18
  • S66 Uniform Combined State Law Examination
    2014-05-29
Other Names
  • Nickolas Waggoner

View on SEC IAPD

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