NG
Nicholas M. Groves
SAFE HARBOR WEALTH ADVISORS
Dublin, OH 43017
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CRD#: 5205751
NG
Professional summary
Nicholas Murray Groves, who also goes by Nick Groves, is a registered financial advisor currently at SAFE HARBOR WEALTH ADVISORS, LLC located in Dublin, Ohio.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Nicholas has worked at 5 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Groves
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. SAFE HARBOR FINANCIAL GROUP, LLC; INVESTMENT RELATED; 6099 FRANTZ ROAD, DUBLIN, OH, 43017; INSURANCE; INSURANCE AGENT; START 04/2021; 160 HOURS PER MONTH; 160 HOURS DURING SECURITIES TRADING HOURS; SALES OF INSURANCE. 2. GROVES CAPITAL WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; 6237 BARLEY OAKS ROAD, HILLIARD, OH, 43026; LLC FOR BUSINESS TAX PURPOSE; OWNER; START 04/2021; 1 HOUR PER MONTH; 1 HOUR DURING SECURITIES TRADING HOURS; ENTITY CREATED FOR TAX PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Murray Groves'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
April 16, 2021 - Present
SAFE HARBOR WEALTH ADVISORS, LLC
Office #1: 6099 Frantz Road, Dublin, OH 43017RIA
CRD#: 284613
Dublin, OH
Past
August 12, 2021 - October 3, 2022
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
Dublin, OH
Past
July 15, 2011 - October 20, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
GRANDVIEW HEIGHTS, OH
Past
August 20, 2009 - July 29, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
COLUMBUS, OH
Past
October 30, 2006 - July 14, 2009
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
POWELL, OH
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".
SH
SAFE HARBOR WEALTH ADVISORS, LLC
SAFE HARBOR WEALTH ADVISORS, LLC
CRD#: 284613 / SEC#: 801-129860
RIA
Registered Investment Advisory firm - (4/9/2024 Approved)Florida
Registered Investment Advisory firm - (4/11/2024 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/15/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/11/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2024 Terminated)Texas
Registered Investment Advisory firm - (4/11/2024 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
Ohio(4/16/2021)
IAR
Texas(6/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/27/2018
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SH
SAFE HARBOR WEALTH ADVISORS, LLC
SAFE HARBOR WEALTH ADVISORS, LLC
CRD#: 284613 / SEC#: 801-129860
RIA
Registered Investment Advisory firm - (4/9/2024 Approved)Florida
Registered Investment Advisory firm - (4/11/2024 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/15/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/11/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2024 Terminated)Texas
Registered Investment Advisory firm - (4/11/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6099 Frantz Road, Dublin, OH 43017
Mailing Address
Phone number
(614) 760-0670
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,062 |
| AUM (Assets Under Management) | $ 162,679,059 |
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.
