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Nicole M. Somers

ALTA WEALTH ADVISORS LLC
Woburn, MA 01801
Some features on this profile are disabled
CRD#: 5856171
NS

Professional summary

Nicole Marie Somers, who also goes by Nicole M Taylor, is a registered financial advisor currently at ALTA WEALTH ADVISORS LLC located in Woburn, Massachusetts and LPL FINANCIAL LLC located in Woburn, Massachusetts.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicole has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicole M Taylor

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.
*607852 - Stop and Shop; Investment Related - No; Danvers, Massachusetts; Retail/Online Stores; Employee(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 08/2024; During Business Hours: 0; After Business Hours: 32; Customer Service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Marie Somers'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

January 17, 2025 - Present

ALTA WEALTH ADVISORS LLC

Office #1: 400 Tradecenter, Suite 4810, Woburn, MA 01801
RIA
CRD#: 293675
Woburn, MA
Current

January 9, 2025 - Present

LPL FINANCIAL LLC

Office #1: 400 Tradecenter, Suite 4810, Woburn, MA 01801
RIA
BD
CRD#: 6413
Woburn, MA
Past

January 6, 2022 - January 24, 2025

MORGAN STANLEY

RIA
CRD#: 149777
Middleton, MA
Past

July 19, 2021 - January 24, 2025

MORGAN STANLEY

BD
CRD#: 149777
Middleton, MA

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".
AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(1/9/2025)
IAR
Massachusetts
(1/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/30/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 Approved)
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Contact information

Main Address
400 Tradecenter, Suite 4810, Woburn, MA 01801
Mailing Address
Phone number
(781) 404-6909
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALTA WEALTH ADVISORS LLC WRAP FEE PROGRAM (2/26/2025)
ADV PART 2A-ALTA WEALTH ADVISORS LLC (2/26/2025)

Regulatory assets under management

Total Number of Accounts1,203
AUM (Assets Under Management)$ 495,478,972

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.

Company Information

ALTA WEALTH ADVISORS LLC

CRD#: 293675Woburn, MA 01801

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