Brent P. Nicks

AMB WEALTH

Wilmington, NC

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CRD#: 4067773

Professional summary

Brent Patrick Nicks is a registered financial advisor currently at AMB WEALTH, LLC located in Wilmington, North Carolina and MMA SECURITIES LLC located in New York, New York.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brent has worked at 13 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 14, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) CRC Oyster Consulting: non-investment related, consulting firm, 4128 Innslake Drive, Glen Allen, VA 23060, Director, 160 hours per month, mostly during market hours, provide consulting services to financial services firms; Start Date 05/2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Patrick Nicks'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

October 30, 2023 - Present

AMB WEALTH, LLC

RIA

CRD#: 113106

Wilmington, NC

Current

May 26, 2022 - Present

MMA SECURITIES LLC

Office #1: 1166 Avenue Of The Americas, New York, NY 10036

RIA

CRD#: 44254

New York, NY

Current

October 30, 2023 - Present

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

Office #1: 135 S. Madison Street, Thomasville, GA 31792

CRD#: 142619

Thomasville, GA

Current

February 23, 2024 - Present

4170 SECURITIES LLC

Office #1: 372 West Ontario Street Suite 502, Chicago, IL 60654

CRD#: 326718

CHICAGO, IL

Past

November 17, 2023 - September 6, 2024

ENVESTNET SECURITIES, INC.

CRD#: 325803

BERWYN, PA

Past

May 16, 2023 - March 26, 2024

LAZEAR CAPITAL SECURITIES, LLC

CRD#: 298578

COLUMBUS, OH

Past

October 26, 2022 - February 8, 2024

ACERVUS SECURITIES, INC.

CRD#: 298058

NEW YORK, NY

Past

December 19, 2018 - April 28, 2022

NEWEDGE ADVISORS

RIA

CRD#: 171351

Auburn, AL

Past

April 16, 2018 - December 10, 2018

NEWEDGE ADVISORS

RIA

CRD#: 171351

Auburn, AL

Past

April 9, 2018 - June 6, 2022

LPL FINANCIAL LLC

CRD#: 6413

AUBURN, AL

Past

October 14, 2013 - March 26, 2018

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

MEMPHIS, TN

Past

October 14, 2013 - March 26, 2018

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

August 16, 2012 - October 30, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MEMPHIS, TN

Past

August 16, 2012 - October 30, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MEMPHIS, TN

Past

March 3, 2008 - October 29, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

March 3, 2008 - October 30, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

March 12, 2004 - February 25, 2008

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

MEMPHIS, TN

Past

November 11, 1999 - February 25, 2008

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

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".

AMB WEALTH, LLC

CRD#: 113106 / SEC#: 801-60350

RIA

Registered Investment Advisory firm - (6/13/2001 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

Alabama
(10/30/2023)

IAR

Alabama
(10/30/2023)

Georgia
(10/30/2023)

IAR

Georgia
(10/31/2023)

North Carolina
(8/19/2025)

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

Series 63

Date: 12/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 10/30/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 14

Date: 6/2/2009

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 10/12/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/1/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AMB WEALTH, LLC

CRD#: 113106 / SEC#: 801-60350

RIA

Registered Investment Advisory firm - (6/13/2001 Approved)

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Contact information

Main Address

135 South Madison Street, Thomasville, GA 31792

Mailing Address

P.o. Box 1116, Thomasville, GA 31799-1116

Phone number

(866) 277-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMB WEALTH LLC ADV 2A 02.27.2025 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	985
AUM (Assets Under Management)	$ 1,010,736,265

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

Brent P. Nicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Patrick Nicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

4170 SECURITIES LLC

ENVESTNET SECURITIES, INC.

LAZEAR CAPITAL SECURITIES, LLC

ACERVUS SECURITIES, INC.

NEWEDGE ADVISORS

NEWEDGE ADVISORS

LPL FINANCIAL LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

Primary Firm SEC Registration

AMB WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/1999

Series 99TO

Date: 10/30/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2001

Series 6

Date: 11/10/1999

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 14

Date: 6/2/2009

Series 4

Date: 10/12/2004

Series 53

Date: 4/1/2004

Series 24

Date: 4/12/2002

FINRA

Current Firm

AMB WEALTH, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMB WEALTH, LLC

TRUST BUT VERIFY

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