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Stacey A. Nickens
ELM3 FINANCIAL GROUP
Alpharetta, GA 30022-1145
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CRD#: 5100771
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Professional summary
Stacey Ann Nickens, CFP®, who also goes by Stacey Ann Moore, is a registered financial advisor currently at ELM3 FINANCIAL GROUP, LLC located in Alpharetta, Georgia.
Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Stacey has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacey Ann Moore
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.
Elm3 CPA, Tax and Accounting. The business is not investment-related. It provides tax, payroll, and bookkeeping services. Stacey is the the owner of this business as well as a tax preparer. The business is located at 5755 North Point Parkway Alpharetta, GA 30022. This business was separated from Elm3 Financial Group on 12/31/2022. Stacey devotes around 3,200 hours per month to this business, around 100 of which are during securities trading hours. Stacey is the owner of Sweet Clover Creek Farm LLC located at 6925 Dickerson Rd, Cumming, GA 30040. Sweet Clover Creek Farm is a small livestock and vegetable farm. She began the farm on 1/1/2023 and spends around 5 hours per month working at the farm, 0 of which are trading hours. Stacey's duties including planning and organizing the planting and harvesting of crops, monitoring livestock health and ensuring proper nutrition and care, and supervising farm workers. Stacey is the owner of Big Pine Landscaping LLC, located at 6925 Dickerson Rd, Cumming GA 30040. The business opened on 4/1/2024. She spends approximately 1 hour per month devoted to the business, 0 of which are during trading hours. Her duties include monthly meetings with the manager, crew and bookkeeper to review operations and financials. She also reviews client relationships to ensure they are happy and their needs are met. Finally, she reviews business development and marketing programs.
CRS (Client Relationship Summary) - RIA
Click below to view Stacey Ann Nickens'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®
CFP®
Start date: 2008
Experience
Current
August 21, 2006 - Present
ELM3 FINANCIAL GROUP, LLC
Office #1: 5755 North Point Pkwy Suite 92, Alpharetta, GA 30022-1145RIA
CRD#: 140594
Alpharetta, GA
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".
EF
ELM3 FINANCIAL GROUP, LLC
AMERICAN MONEY MANAGEMENT | ELM3 FINANCIAL GROUP, LLC | ATFG | AMERICAN TAX & FINANCIAL GROUP, LLC | AMERICAN MONEY MANAGEMENT, LLC
CRD#: 140594 / SEC#: 801-126278
RIA
Registered Investment Advisory firm - (8/3/2022 Approved)Florida
Registered Investment Advisory firm - (9/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (9/14/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/12/2022 Terminated)Texas
Registered Investment Advisory firm - (9/2/2022 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.Highlighted states indicate IAR registrations
IAR
Colorado(4/24/2024)
IAR
Florida(10/23/2015)
IAR
Georgia(8/21/2006)
IAR
North Carolina(6/14/2019)
IAR
Texas(8/2/2017)
Current Firm
EF
ELM3 FINANCIAL GROUP, LLC
AMERICAN MONEY MANAGEMENT | ELM3 FINANCIAL GROUP, LLC | ATFG | AMERICAN TAX & FINANCIAL GROUP, LLC | AMERICAN MONEY MANAGEMENT, LLC
CRD#: 140594 / SEC#: 801-126278
RIA
Registered Investment Advisory firm - (8/3/2022 Approved)Florida
Registered Investment Advisory firm - (9/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (9/14/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/12/2022 Terminated)Texas
Registered Investment Advisory firm - (9/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5755 North Point Pkwy Suite 92, Alpharetta, GA 30022-1145
Mailing Address
Phone number
(678) 297-9500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 631 |
| AUM (Assets Under Management) | $ 159,125,234 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
