Unclaimed Profile

Robert Wayne Nichols

WINDWARD CAPITAL MANAGEMENT CO·LOS ANGELES, California

SIE, Series 1, Series 6, Series 7, Series 22, Series 24, Series 26, Series 39, Series 53, Series 63, Series 65, Series 99TO22 years registeredWINDWARD CAPITAL MANAGEMENT CO

11111 SANTA MONICA BOULEVARD, LOS ANGELES, CA 90025CRD# 347698Firm CRD# 106908

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robert Wayne Nichols · LOS ANGELES, CA

Registration

CRD #347698 · WINDWARD CAPITAL MANAGEMENT CO · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WINDWARD CAPITAL MANAGEMENT CO

WINDWARD CAPITAL MANAGEMENT CO

May 2004 – Jan 2025

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 6

Series 7

Series 22

Series 24

Series 26

Series 39

Series 53

Series 63

Series 65

Series 99TO

Registration record

First registered · May 11, 2004

Years registered · 22

Disclosure History

1981Regulatory·Final

1969Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WINDWARD CAPITAL MANAGEMENT CO

CRD 106908 · SEC 801-50819

AUM

$1.2B

Regulatory assets under management

Employees

216 client accounts

Services offered by WINDWARD CAPITAL MANAGEMENT CO

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

View all advisors at WINDWARD CAPITAL MANAGEMENT CO →

Introduction

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Frequently Asked Questions

What services does Robert Wayne Nichols offer?

Robert Wayne Nichols specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Robert Wayne Nichols's credentials?

Robert Wayne Nichols is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Wayne Nichols located?

Robert Wayne Nichols is based in LOS ANGELES, California, last registered with WINDWARD CAPITAL MANAGEMENT CO.

How does Robert Wayne Nichols charge for services?

Robert Wayne Nichols's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WINDWARD CAPITAL MANAGEMENT CO?

WINDWARD CAPITAL MANAGEMENT CO has approximately 9 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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