Nicholas Efthemis has been Chief Compliance Officer of Emergent Wealth Advisors since February 2015, is a control person of the firm and directly owns under 5% of it.
Emergent Wealth Advisors, LLC is a Williamsville, NY firm with $249M under management, 370 clients and 3 advisers across 2 offices, as of its January 2026 filing.
Nicholas J. Efthemis is Wealth Advisor of Emergent Wealth Advisors. His experience spans well over two decades, and he works in retirement, investment and comprehensive planning solutions. He is an active member of the community and associates with the SPCA and Humane Society.
Nicholas Efthemis’ longest registration was 5 years at American Portfolios Advisors, Inc (2010–2015). Before joining Emergent Wealth Advisors in 2021, Nicholas Efthemis was registered through American Portfolios Advisors, Inc.
- American Portfolios Advisors, Inc– · 5 yearsHolbrook, NY · Adviser representative · Firm CRD 112697
Professional designations
Listed by Emergent Wealth Advisors
- CFP®
- CRPS
Investment adviser representative registrations
Nicholas Efthemis is registered as an investment adviser representative in 2 states. The first approvals date from April 2021; the most recent is Tennessee, in April 2026.
- New YorkSince 8 April 2021
- TennesseeSince 7 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 18 November 1996 |
| Series 7 | General Securities Representative Examination | 13 November 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas John Efthemis
- CRD
- 2821400
- Firm
- Emergent Wealth Advisors · CRD 174845
- Role
- Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- November 1996
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- emergentwa.com
Where does Nicholas Efthemis work?
Nicholas Efthemis has been Chief Compliance Officer of Emergent Wealth Advisors, LLC since February 2015, and is a control person of the firm.
Is Nicholas Efthemis a financial advisor?
Yes. Nicholas Efthemis has a current investment-adviser registration in New York and Tennessee, through Emergent Wealth Advisors since April 2021.
How many years of experience does Nicholas Efthemis have?
Nicholas Efthemis has 29 years in the financial industry, since November 1996, across 2 adviser firms.
What exams has Nicholas Efthemis passed?
Nicholas Efthemis has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in November 1996. FINRA credited Nicholas Efthemis with the SIE, which began in October 2018.
Where did Nicholas Efthemis work before Emergent Wealth Advisors?
Before Emergent Wealth Advisors, Nicholas Efthemis was registered through American Portfolios Advisors, Inc, February 2010 to December 2015.
Is Nicholas Efthemis registered with FINRA?
No. Nicholas Efthemis has no current broker registration.
Is Nicholas Efthemis a CFP?
Emergent Wealth Advisors lists Nicholas Efthemis with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Nicholas J. Efthemis, CFP®, CRPS Wealth Advisor biography, emergentwa.com
How can I verify Nicholas Efthemis’ record?
Search CRD 2821400 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Efthemis’ full registration record.