Nicole A. Plumlee

RBA WEALTH MANAGEMENT

Newport Beach, CA 92660

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CRD#: 2381800

Professional summary

Nicole Anastasia Plumlee, who also goes by Nicole A Harris, Nicole A Plumlee, is a registered financial advisor currently at RBA WEALTH MANAGEMENT, LLC located in Newport Beach, California and PURSHE KAPLAN STERLING INVESTMENTS located in Newport Beach, California.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicole has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole A Harris | Nicole A Plumlee

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.

1. RBA Wealth Management, LLC-Investment related- 520 Newport Center Drive, Ste. 740, Newport Beach, CA 92660-Rgistered Investment Advisor-Chief Operating Pfficer- 11/2017-160 hrs/mth-160 during trading hrs- Operational and administrative duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Anastasia Plumlee'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

January 18, 2019 - Present

RBA WEALTH MANAGEMENT, LLC

Office #1: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660

RIA

CRD#: 291029

Newport Beach, CA

Current

May 18, 2018 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 520 Newport Center Drive Suite 740, Newport Beach, CA 92660

CRD#: 35747

Newport Beach, CA

Past

September 15, 2010 - November 6, 2017

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

August 27, 2010 - November 6, 2017

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

August 13, 2007 - September 7, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

November 18, 1997 - September 7, 2010

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

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".

RBA WEALTH MANAGEMENT, LLC

RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA

Registered Investment Advisory firm - (12/20/2017 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/18/2018)

IAR

California
(1/18/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/1997

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: 12/17/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RBA WEALTH MANAGEMENT, LLC

RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA

Registered Investment Advisory firm - (12/20/2017 Approved)

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Contact information

Main Address

520 Newport Center Drive Suite 740, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 945-2104

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR RBA WEALTH MANAGEMENT, LLC (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,191
AUM (Assets Under Management)	$ 403,525,885

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

Nicole A. Plumlee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Anastasia Plumlee's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

RBA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2007

Series 63

Date: 10/7/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2007

Series 6

Date: 11/17/1997

Series 24

Date: 12/18/2008

FINRA

Current Firm

RBA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RBA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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