Nina E. Adams

ADAMS ASHBY FINANCIAL ADVISORS

Sacramento, CA 95864

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CRD#: 2163086

Professional summary

Nina Engineer Adams, who also goes by Nina Dhun Engineer Adams, Nina E Adams, is a registered financial advisor currently at ADAMS ASHBY FINANCIAL ADVISORS located in Sacramento, California.

Nina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Nina has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nina Dhun Engineer Adams | Nina E Adams

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 Nina Engineer Adams's CRS (Customer Relationship Summary).

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

November 18, 2010 - Present

ADAMS ASHBY FINANCIAL ADVISORS

Office #1: 3508 Cody Way, Ste 100, Sacramento, CA 95864

RIA

CRD#: 149683

Sacramento, CA

Past

October 25, 2004 - January 25, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SACRAMENTO, CA

Past

October 25, 2004 - January 25, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SACRAMENTO, CA

Past

July 8, 1997 - October 26, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SACRAMENTO, CA

Past

August 26, 1991 - October 26, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

ADAMS ASHBY FINANCIAL ADVISORS

ADAMS ASHBY FINANCIAL ADVISORS | AF ADVISORS, INC.

CRD#: 149683 / SEC#: 801-114137

RIA

Registered Investment Advisory firm - (10/16/2018 Approved)

California

Registered Investment Advisory firm - (2/24/2019 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.

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
(11/18/2010)

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: 11/17/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/1991

General Securities Representative Examination

Current Firm

ADAMS ASHBY FINANCIAL ADVISORS

ADAMS ASHBY FINANCIAL ADVISORS | AF ADVISORS, INC.

CRD#: 149683 / SEC#: 801-114137

RIA

Registered Investment Advisory firm - (10/16/2018 Approved)

California

Registered Investment Advisory firm - (2/24/2019 Terminated)

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Contact information

Main Address

3508 Cody Way Suite 100, Sacramento, CA 95864

Mailing Address

Phone number

(916) 333-5989

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AF - ADV PART 2A: FIRM BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	99
AUM (Assets Under Management)	$ 737,096,379

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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Advisor Monitoring

Firm Stability Insights

Nina E. Adams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nina Engineer Adams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ADAMS ASHBY FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2010

Series 63

Date: 9/12/1991

Series 7

Date: 8/23/1991

Current Firm

ADAMS ASHBY FINANCIAL ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADAMS ASHBY FINANCIAL ADVISORS

TRUST BUT VERIFY

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