Nicholas Wayne Sowers
Investment Adviser Representative at KCD Financial, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicholas Wayne Sowers is an investment adviser representative with KCD Financial, Inc. in West Palm Beach, FL, where they have been registered since 2022. They have worked in the securities industry since 2018 and were previously registered with Florida Financial Advisors, Inc. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 26 (investment company and variable products principal). They are registered to provide investment advice in 20 states.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Texas, Virginia, Washington
- Broker:
19 states and territories
Alaska, Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Louisiana, Maryland, Michigan, Nebraska, Nevada, New York, North Carolina, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Purshe Kaplan Sterling Investments, IncAug 2017 – May 2018Albany, NY
- Mickool, Inc.Aug 2017 – Aug 2018Tampa, FL
- UnemployedMar 2017 – May 2017Tampa, FL
- Carillon GreenOct 2016 – Mar 2017Tampa, FL
- IFS Securities Inc.May 2018 – Feb 2019Atlanta, GA
- Florida Financial AdvisorsJun 2018 – Jul 2022Orlando, FL
- Trinity Wealth Securities L.L.CFeb 2019 – May 2022Orlando, FL
- Trinity Wealth Securities, LLCMay 2022 – Jul 2022Tampa, FL
- KCD FinancialJul 2022 – no end date reportedGreen Bay, WI
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About KCD Financial, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Firm account minimum
- $25,000 (waivable)
- Up to $100,0002.50%
- $100,000 to $500,0001.50%
- $500,000 to $1,000,0000.75%
- Above $1,000,0000.50%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Brokerage and advisory services for independent financial representatives, including one-on-one support, guidance, and tools to help representatives succeed and grow.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 38
- Offices listed on AdvisorFinder:
- 11
- Main office:
- Green Bay, WI
- Founded:
- 2003
- SEC file number:
- 801-110069
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 11, 2026
View full firm profileOther advisors at KCD Financial, Inc.
Showing 12 of 38 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas Wayne Sowers has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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