David A. Nabb

ARLEN CAPITAL

WARWICK, RI 02886

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CRD#: 5174911

Professional summary

David A Nabb is a registered financial advisor currently at ARLEN CAPITAL, LLC located in Warwick, Rhode Island.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. David has worked at 2 firms and has passed the Series 65 exam.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David A Nabb'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

November 11, 2008 - Present

ARLEN CAPITAL, LLC

Office #1: 117 Metro Center Boulevard Suite 2006, Warwick, RI 02886

RIA

CRD#: 118113

WARWICK, RI

Past

July 21, 2006 - March 31, 2009

TERCET CAPITAL, LLC

RIA

CRD#: 135969

SMITHFIELD, RI

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".

ARLEN CAPITAL, LLC

ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS

CRD#: 118113 / SEC#: 801-63038

RIA

Registered Investment Advisory firm - (4/14/2004 Approved)

Rhode Island

Registered Investment Advisory firm - (4/21/2004 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

Rhode Island
(11/11/2008)

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: 7/20/2006

Uniform Investment Adviser Law Examination

Current Firm

ARLEN CAPITAL, LLC

ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS

CRD#: 118113 / SEC#: 801-63038

RIA

Registered Investment Advisory firm - (4/14/2004 Approved)

Rhode Island

Registered Investment Advisory firm - (4/21/2004 Terminated)

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Contact information

Main Address

117 Metro Center Boulevard Suite 2006, Warwick, RI 02886

Mailing Address

Phone number

(401) 854-3500

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

FORM ADV PART 2A (2/11/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 331,251,085

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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David A. Nabb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David A Nabb's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARLEN CAPITAL, LLC

TERCET CAPITAL, LLC

Primary Firm SEC Registration

ARLEN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2006

Current Firm

ARLEN CAPITAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARLEN CAPITAL, LLC

TRUST BUT VERIFY

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