Nicholas R. Lumpp

RCN WEALTH ADVISORS

Stevensville, MD 21666

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CRD#: 5283280

Professional summary

Nicholas Robert Lumpp is a registered financial advisor currently at RCN WEALTH ADVISORS, INC. located in Stevensville, Maryland.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Nicholas has worked at 2 firms and has passed the Series 66, Series 7 and Series 4 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Lumpp'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®

None

Experience

Current

March 3, 2016 - Present

RCN WEALTH ADVISORS, INC.

Office #1: 116 Terrapin Ln, Stevensville, MD 21666

RIA

CRD#: 163562

Stevensville, MD

Past

April 27, 2009 - May 2, 2012

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ROCKVILLE, MD

Past

November 20, 2008 - May 2, 2012

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ROCKVILLE, MD

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

Maryland
(2/22/2022)

IAR

Texas
(3/3/2016)

IAR

Virginia
(1/3/2018)

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 66

Date: 4/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/29/2010

Registered Options Principal Examination

Current Firm

RCN WEALTH ADVISORS, INC.

CRD#: 163562 / SEC#:

Maryland

Registered Investment Advisory firm - (5/29/2012 Approved)

Texas

Registered Investment Advisory firm - (3/3/2016 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/2/2017 Approved)

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Contact information

Main Address

116 Terrapin Ln, Stevensville, MD 21666

Mailing Address

Phone number

(410) 956-6003

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 44,001,900

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas R. Lumpp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Lumpp's CRS (Customer Relationship Summary).

Certified licenses

Experience

RCN WEALTH ADVISORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2009

Series 7

Date: 11/19/2008

Series 4

Date: 9/29/2010

Current Firm

RCN WEALTH ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RCN WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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