Elliot Noma

Some features on this profile are disabled

CRD#: 2086850

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Elliot Noma was a registered financial professional .

Elliot is a previously registered financial professional and started their career in finance in 1990. Elliot had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 16, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2018 - April 22, 2021

QUANTUM FINANCIAL ADVISORS INC

RIA

CRD#: 113563

ROCKVILLE, MD

Past

March 4, 2009 - December 3, 2018

QUANTUM FINANCIAL ADVISORS INC

RIA

CRD#: 113563

ROCKVILLE, MD

Past

February 27, 2003 - January 27, 2009

HEDGE HARBOR INC.

CRD#: 44324

NEW YORK, NY

Past

January 10, 2000 - February 10, 2003

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

November 30, 1995 - February 7, 2000

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 20, 1993 - March 22, 1995

JPMSI

CRD#: 15733

NEW YORK, NY

Past

May 6, 1991 - August 26, 1993

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

October 24, 1990 - March 28, 1991

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUANTUM FINANCIAL ADVISORS INC

LIFETIME BENEFITS | QUANTUM FINANCIAL ADVISORS INC | QFA

CRD#: 113563 / SEC#: 801-125887

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

California

Registered Investment Advisory firm - (1/1/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (7/25/2022 Terminated)

District of Columbia

Registered Investment Advisory firm - (7/13/2022 Terminated)

Florida

Registered Investment Advisory firm - (11/13/2018 Terminated)

Georgia

Registered Investment Advisory firm - (12/18/2015 Terminated)

Maryland

Registered Investment Advisory firm - (7/25/2022 Terminated)

Nevada

Registered Investment Advisory firm - (8/15/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (12/3/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2022 Terminated)

Virginia

Registered Investment Advisory firm - (7/16/2022 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 1/6/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/14/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/1/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 16

Date: 3/30/1994

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 10/22/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/8/1993

Registered Options Principal Examination

Current Firm

QUANTUM FINANCIAL ADVISORS INC

LIFETIME BENEFITS | QUANTUM FINANCIAL ADVISORS INC | QFA

CRD#: 113563 / SEC#: 801-125887

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

California

Registered Investment Advisory firm - (1/1/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (7/25/2022 Terminated)

District of Columbia

Registered Investment Advisory firm - (7/13/2022 Terminated)

Florida

Registered Investment Advisory firm - (11/13/2018 Terminated)

Georgia

Registered Investment Advisory firm - (12/18/2015 Terminated)

Maryland

Registered Investment Advisory firm - (7/25/2022 Terminated)

Nevada

Registered Investment Advisory firm - (8/15/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (12/3/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2022 Terminated)

Virginia

Registered Investment Advisory firm - (7/16/2022 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

51 Monroe Street Suite 1902, Rockville, MD 20850

Mailing Address

325 Ellington Blvd #511, Gaithersburg, MD 20878

Phone number

(301) 296-6203

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	362
AUM (Assets Under Management)	$ 507,079,299

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Elliot Noma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUANTUM FINANCIAL ADVISORS INC

HEDGE HARBOR INC.

FAM DISTRIBUTORS, INC.

DEUTSCHE BANK SECURITIES INC.

JPMSI

SALOMON BROTHERS INC.

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

QUANTUM FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2009

Series 65

Date: 4/14/1992

Series 63

Date: 11/21/1990

Series 3

Date: 5/1/2009

Series 16

Date: 3/30/1994

Series 7

Date: 10/22/1990

Series 4

Date: 7/8/1993

Current Firm

QUANTUM FINANCIAL ADVISORS INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUANTUM FINANCIAL ADVISORS INC

TRUST BUT VERIFY

Similar Advisors