Nathan J. Ricks

FINANCIAL FREEDOM FOR DENTISTS LLC

Snoqualmie, WA 98065

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CRD#: 2630065

Professional summary

Nathan John Ricks, CFP®, who also goes by Nate Ricks, is a registered financial advisor currently at FINANCIAL FREEDOM FOR DENTISTS LLC located in Snoqualmie, Washington.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Nathan has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Do you have an area of expertise or specialization?

Cash Flow/Budgets/Credit Issue...

College/Education Planning

Financial Psychology/Coaching

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Are you a "fiduciary"?

Yes

Aliases

Nate Ricks

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 Nathan John Ricks'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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

July 1, 2019 - Present

FINANCIAL FREEDOM FOR DENTISTS LLC

Office #1: 34627 Se Swenson Dr. Suite 100, Snoqualmie, WA 98065

RIA

CRD#: 301981

Snoqualmie, WA

Past

February 7, 2013 - July 2, 2019

DENTAL WEALTH ADVISORS, LLC

RIA

CRD#: 127147

KIRKLAND, WA

Past

July 3, 2008 - February 1, 2013

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

BELLEVUE, WA

Past

December 31, 2001 - June 26, 2008

MERCER ADVISORS

RIA

CRD#: 104569

BELLEVUE, WA

Past

January 19, 2000 - October 30, 2001

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054

IRVINE, CA

Past

July 6, 1995 - October 13, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 6, 1995 - October 13, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

FINANCIAL FREEDOM FOR DENTISTS LLC

CRD#: 301981 / SEC#: 801-122541

RIA

Registered Investment Advisory firm - (10/22/2021 Approved)

Idaho

Registered Investment Advisory firm - (10/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (10/27/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 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

Washington
(7/1/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/5/1995

General Securities Representative Examination

Current Firm

FINANCIAL FREEDOM FOR DENTISTS LLC

CRD#: 301981 / SEC#: 801-122541

RIA

Registered Investment Advisory firm - (10/22/2021 Approved)

Idaho

Registered Investment Advisory firm - (10/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (10/27/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 Terminated)

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Contact information

Main Address

34627 Se Swenson Dr. Suite 100, Snoqualmie, WA 98065

Mailing Address

Phone number

(425) 888-1911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	566
AUM (Assets Under Management)	$ 138,000,000

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Nathan J. Ricks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan John Ricks's CRS (Customer Relationship Summary).

Certified licenses

Experience

DENTAL WEALTH ADVISORS, LLC

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS

WAVELAND CAPITAL PARTNERS LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

FINANCIAL FREEDOM FOR DENTISTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1995

Series 63

Date: 7/3/1995

Series 7

Date: 7/5/1995

Current Firm

FINANCIAL FREEDOM FOR DENTISTS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL FREEDOM FOR DENTISTS LLC

TRUST BUT VERIFY

Contact information

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