John M. Nuckel

JOHN NUCKEL LLC

Hermosa Beach, CA

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CRD#: 1032162

Professional summary

John Michael Nuckel is a registered financial advisor currently at JOHN NUCKEL LLC located in Hermosa Beach, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Nuckel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 18, 2021 - Present

JOHN NUCKEL LLC

RIA

CRD#: 309253

Hermosa Beach, CA

Past

October 26, 2012 - June 12, 2020

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

NEW YORK, NY

Past

March 17, 2011 - June 12, 2020

REALTA EQUITIES, INC.

CRD#: 23769

NEW YORK CITY, NY

Past

January 18, 2006 - December 13, 2010

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

VALHALLA, NY

Past

September 16, 2005 - December 13, 2010

INVESTORS CAPITAL CORP.

CRD#: 30613

VALHALLA, NY

Past

October 23, 2000 - September 23, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 23, 2000 - September 23, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 27, 1995 - October 5, 1995

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

February 2, 1993 - August 13, 1993

NEW WINDSOR ASSOCIATES, L.P.

CRD#: 22977

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/21/2023)

IAR

New York
(7/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOHN NUCKEL LLC

DIVERSIFIED ASSET MANAGEMENT | JOHN NUCKEL LLC

CRD#: 309253 / SEC#:

California

Registered Investment Advisory firm - (7/21/2023 Approved)

New York

Registered Investment Advisory firm - (5/26/2020 Approved)

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Contact information

Main Address

Hermosa Beach, CA

Mailing Address

Phone number

(914) 715-4863

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 14,800,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John M. Nuckel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Nuckel's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FIRST NEW YORK SECURITIES L.L.C.

NEW WINDSOR ASSOCIATES, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2006

Series 63

Date: 11/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2000

Series 6

Date: 2/18/1982

Current Firm

JOHN NUCKEL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOHN NUCKEL LLC

TRUST BUT VERIFY

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