Nicole P. Murphy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicole Parriott Murphy was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2008. Nicole had worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2008 - January 27, 2017
RELEVANT WEALTH ADVISORS, LLC
Primary Firm SEC Registration
RELEVANT WEALTH ADVISORS, LLC
CRD#: 1489 / SEC#: 801-56354, 8-14903
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RELEVANT WEALTH ADVISORS, LLC
CRD#: 1489 / SEC#: 801-56354, 8-14903
Contact information
SEC notice filing (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAABE, BRUCE JON | CHIEF COMPLIANCE OFFICER, CEO, CFO & MANAGING MEMBER | 2268947 |
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 681,532,553 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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