Richard Nickerson has been President, COO, Treasurer, CCO, and CFO of Alpha Capital Advisors since August 2021, is a control person of the firm and directly owns 75% or more of it.
Alpha Capital Advisors, Inc. is a Bangor, ME firm with $146M under management, 294 clients and 3 advisers in one office, as of its March 2026 filing.
Richard Nickerson’s longest registration was 10 years at LPL Financial LLC (2008–2019). Before joining Alpha Capital Advisors in 2019, Richard Nickerson was registered through LPL Financial LLC and Key Investment Services LLC.
- Eagle Financial StrategiesCurrent– present · 7 yearsBangor, ME · Adviser representative · Firm CRD 138825
- LPL Financial LLC– · 10 yearsBangor, ME · Adviser representative · Firm CRD 6413
- Key Investment Services LLC– · 1 yearBangor, ME · Adviser representative · Firm CRD 136300
- Bangor Securities, Inc.– · 1 yearBangor, ME · Adviser representative · Firm CRD 4302
- Compass Capital Asset Management– · under a yearBangor, ME · Adviser representative · Firm CRD 13787
- Bangor Securities, Inc.– · 1 yearPortland, ME · Adviser representative · Firm CRD 4302
Investment adviser representative registrations
Richard Nickerson is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from February 2019; the most recent is Florida, in March 2021.
- FloridaSince 2 March 2021
- MaineSince 15 February 2019
- TexasResidentSince 28 May 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 July 1999 |
| Series 7 | General Securities Representative Examination | 6 July 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Miller Nickerson
- CRD
- 3245645
- Firm
- Alpha Capital Advisors · CRD 138825
- Role
- President, COO, Treasurer, CCO, and CFO
- Office
- ONE CUMBERLAND PLACE, SUITE 204, Bangor, ME 04401
- Registration
- Investment adviser registration
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Nickerson work?
Richard Nickerson has been President, COO, Treasurer, CCO, and CFO of Alpha Capital Advisors, Inc. since August 2021, and is a control person of the firm.
Is Richard Nickerson a financial advisor?
Yes. Richard Nickerson has a current investment-adviser registration in Florida, Maine and Texas, through Alpha Capital Advisors since February 2019.
How many years of experience does Richard Nickerson have?
Richard Nickerson has 25 years in the financial industry, since May 2001, across 5 adviser firms.
What exams has Richard Nickerson passed?
Richard Nickerson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 1999. FINRA credited Richard Nickerson with the SIE, which began in October 2018.
Where did Richard Nickerson work before Alpha Capital Advisors?
Before Alpha Capital Advisors, Richard Nickerson was registered through LPL Financial LLC, April 2008 to February 2019; Key Investment Services LLC, December 2006 to March 2008; Bangor Securities, Inc., June 2005 to December 2006; Compass Capital Asset Management, September 2004 to June 2005; Bangor Securities, Inc., February 2003 to September 2004.
Where is Richard Nickerson based?
Richard Nickerson’s registered office is in Bangor, ME.
Is Richard Nickerson registered with FINRA?
No. Richard Nickerson has no current broker registration.
How can I verify Richard Nickerson’s record?
Search CRD 3245645 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Nickerson’s full registration record.