NW
Noah D. Wertheimer
REALTA INVESTMENT ADVISORS
AURORA, CO 80016
Some features on this profile are disabled
CRD#: 4907880
NW
Professional summary
Noah D. Wertheimer is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Aurora, Colorado and REALTA EQUITIES, INC. located in Aurora, Colorado.
Noah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Noah has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Noah D. Wertheimer'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
January 10, 2020 - Present
REALTA INVESTMENT ADVISORS, INC
Office #1: 6155 South Main Street Suite 235, Aurora, CO 80016RIA
CRD#: 134952
AURORA, CO
Current
January 23, 2020 - Present
REALTA EQUITIES, INC.
Office #1: 6155 South Main Street Suite 235, Aurora, CO 80016BD
CRD#: 23769
Aurora, CO
Past
October 1, 2012 - December 6, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ENGLEWOOD, CO
Past
October 1, 2012 - December 6, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ENGLEWOOD, CO
Past
June 19, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ENGLEWOOD, CO
Past
June 19, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ENGLEWOOD, CO
Past
October 29, 2007 - April 3, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
BINGHAM FARMS, MI
Past
October 17, 2007 - April 3, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
BINGHAM FARMS, MI
Past
May 17, 2005 - August 23, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CENTENNIAL, CO
Past
March 17, 2005 - August 23, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CENTENNIAL, CO
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".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 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
Arizona(2/19/2020)
RR
California(1/24/2020)
RR
Colorado(2/18/2020)
IAR
Colorado(11/20/2025)
RR
Delaware(11/26/2025)
RR
Florida(7/22/2020)
RR
Hawaii(11/19/2024)
RR
Idaho(9/13/2024)
RR
Illinois(5/4/2022)
RR
Massachusetts(11/26/2025)
RR
Michigan(12/14/2023)
RR
New Jersey(2/25/2022)
RR
New York(2/26/2024)
RR
North Carolina(2/4/2022)
RR
Ohio(6/2/2021)
RR
Oklahoma(1/24/2024)
RR
Oregon(5/18/2023)
RR
Pennsylvania(1/24/2020)
RR
South Carolina(3/8/2024)
RR
Texas(3/14/2025)
RR
Virginia(10/15/2020)
RR
Wisconsin(4/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)PREMIUM
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
