NW
Nicola T. Walter
NOBLEBRIDGE WEALTH
NEW YORK, NY
Some features on this profile are disabled
CRD#: 2857514
NW
Professional summary
Nicola Ta Walter, who also goes by Walter Ta Nicola Ta, is a registered financial advisor currently at NOBLEBRIDGE WEALTH located in New York, New York and LEAGUE CAPITAL MARKETS located in New York, New York.
Nicola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicola has worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walter Ta Nicola Ta
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.
M.Y.R.A. Entertainment LLC, Investment related: no, Location: New York, NY, Start Date: 2015, Nature of Business: Independent Film Production Company, Title: COO, Managing Member. Hours devoted per month: 40 hrs, Hours devoted per Month during Trading Hours: 20. Brief Description of Duties: Maintains staffing and expectation to fulfill organizational requirements. Subcorps of M.Y.R.A Entertainment LLC: Fairy Tale Forest, Inc., Bermuda Tempest, Inc., Investment related: no. Location: New York, NY. Nature of Business: Independent Film Production Companies. Title: Director and Senior VP, Hours devoted: between 2 to 15 per month for administrative tasks during Trading Hours. Description of Duties: administration. EOS Ltd. Investment related: no. Location: Hamilton, Bermuda, Title: Director, Nature of Business: Holding Company. Hours devoted per year: 5hrs. Description of Duties: administrative. JTC Ltd, Investment related: no, Location: New York, NY. Title: Director. Nature of Business: Real Estate Holding. Hours devoted per year: 2hrs. Description of Duties: administrative. JTC II Ltd. Investment related: no. Location: New York, NY , Title: Director. Nature of Business: Real Estate Holding. Hours devoted per year: 2 hrs. Description of Duties: administration. Nicola Walter Design & Decor. Inc. Investment related: no, Location: New York, NY Start Date: 2004, Nature of Business: Interior Design. Title: CEO, Hours Devoted per Month: 10hrs, Hours during Trading Hours: 0, Brief Description of Duties: Occasional Decorating and Consulting. Fort Ghent Brokerage LLC, Investment Related: yes, Location New York, NY, Start Date: 2017, Nature of Business: Broker-Dealer, Title: Representative, Hours Devoted per Month: 10, Hours during Trading Hours, 0, Brief Description: investment Sales, Networking and Creating new Business Opportunities. NobleBridge Wealth Management, LLC., Investment Related: yes, Location Montclair, NJ, Start Date: 2019, Nature of Business: RIA, Title: IAR & Private Wealth Consultant, Hours Devoted per Month: 10, Hours devoted during Trading Hours: 0. Brief Description of Duties: Occasional Consulting, Networking and Creating Business Opportunities. Director of a new M.Y.R.A. entity: M.Y.R.A. Asia Pte. Ltd. (a subcorp of EOS Ltd) on January 20, 2022. It is an independent Film Production Company in Singapore, investment related: no. Location: Singapore, title: Director, Hours devoted per month: 2 during trading hours for administrative tasks. NFJ-VV LLC Investment related: no, Location: Old Westbury, NY, Start Date: 2023, Title: Co-Founder, Nature of Business: design a liquor, Hours devoted during Trading Hours: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Nicola Ta Walter'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®
NoneExperience
Current
July 25, 2019 - Present
NOBLEBRIDGE WEALTH
RIA
CRD#: 146612
NEW YORK, NY
Current
April 3, 2017 - Present
LEAGUE CAPITAL MARKETS
Office #1: 1345 Avenue Of The Americas 2nd Floor, New York, NY, 10105BD
CRD#: 170803
NEW YORK, NY
Past
April 27, 2018 - June 10, 2019
SKYRANK
RIA
CRD#: 126954
East Brunswick, NJ
Past
October 30, 2015 - December 6, 2016
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
NEW YORK, NY
Past
October 30, 2015 - December 6, 2016
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
July 12, 2011 - November 5, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
July 6, 2011 - November 5, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 17, 2011 - September 26, 2011
BENJAMIN & JEROLD BROKERAGE I, LLC
BD
CRD#: 29110
NEW YORK, NY
Past
October 27, 2010 - March 29, 2011
GLENWOOD SECURITIES, INC.
BD
CRD#: 37066
NEW YORK, NY
Past
September 10, 2007 - November 10, 2008
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
August 28, 2007 - November 10, 2008
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NEW YORK, NY
Past
January 3, 2002 - February 2, 2007
MONARCH FINANCIAL CORPORATION OF AMERICA
BD
CRD#: 23437
NEW YORK, NY
Past
March 18, 1997 - December 31, 2001
WORLD FINANCIAL SERVICES, INC.
BD
CRD#: 18461
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".
NW
NOBLEBRIDGE WEALTH
19 ADVISOR | WEALTHPOINT INVESTMENT ADVISORS, LLC | NORTHERN VIRGINIA WEALTH MANAGEMENT | NOBLEBRIDGE WEALTH MANAGEMENT, LLC | NOBLEBRIDGE WEALTH & ASSET MANAGEMENT SERVICES | NOBLEBRIDGE WEALTH | LEGACY WEALTH SOLUTIONS | CROSS CREEK WEALTH MANAGEMENT ADVISORS | CROSS CREEK FINANCIAL | CROSS CREEK CAPITAL MANAGEMENT, LLC | CROSS CREEK ASSET MANAGEMENT
CRD#: 146612 / SEC#: 801-126246
RIA
Registered Investment Advisory firm - (7/29/2022 Approved)Connecticut
Registered Investment Advisory firm - (12/23/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (8/2/2022 Terminated)Florida
Registered Investment Advisory firm - (8/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Maryland
Registered Investment Advisory firm - (9/7/2022 Terminated)New Jersey
Registered Investment Advisory firm - (8/16/2022 Terminated)New York
Registered Investment Advisory firm - (8/2/2022 Terminated)North Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/2/2022 Terminated)South Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2022 Terminated)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.RR
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
RR
New Jersey(5/23/2019)
IAR
New Jersey(7/25/2019)
RR
New York(4/3/2017)
IAR
New York(3/29/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NOBLEBRIDGE WEALTH
19 ADVISOR | WEALTHPOINT INVESTMENT ADVISORS, LLC | NORTHERN VIRGINIA WEALTH MANAGEMENT | NOBLEBRIDGE WEALTH MANAGEMENT, LLC | NOBLEBRIDGE WEALTH & ASSET MANAGEMENT SERVICES | NOBLEBRIDGE WEALTH | LEGACY WEALTH SOLUTIONS | CROSS CREEK WEALTH MANAGEMENT ADVISORS | CROSS CREEK FINANCIAL | CROSS CREEK CAPITAL MANAGEMENT, LLC | CROSS CREEK ASSET MANAGEMENT
CRD#: 146612 / SEC#: 801-126246
RIA
Registered Investment Advisory firm - (7/29/2022 Approved)Connecticut
Registered Investment Advisory firm - (12/23/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (8/2/2022 Terminated)Florida
Registered Investment Advisory firm - (8/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Maryland
Registered Investment Advisory firm - (9/7/2022 Terminated)New Jersey
Registered Investment Advisory firm - (8/16/2022 Terminated)New York
Registered Investment Advisory firm - (8/2/2022 Terminated)North Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/2/2022 Terminated)South Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
North Caldwell, NJ
Mailing Address
28 Valley Road, Montclair, NJ 07042
Phone number
+1 (866) 798-0354
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 152,940,039 |
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.
