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RN

Robby J. Nolen

ZEUS FINANCIAL
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 5868862
RN

Professional summary

Robby James Nolen, who also goes by Rob James Nolen, Robb James Nolen, is a registered financial professional currently at ZEUS FINANCIAL, LLC located in Boca Raton, Florida.

Robby is registered as a RR (Registered Representative) and started their career in finance in 2011. Robby has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 7TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob James Nolen | Robb James Nolen

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) - BD

Click below to view Robby James Nolen'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

December 17, 2024 - Present

ZEUS FINANCIAL, LLC

Office #1: 4800 T-rex Avenue Suite 100, Boca Raton, FL 33431
BD
CRD#: 18192
BOCA RATON, FL
Past

January 24, 2011 - October 16, 2017

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
BOERNE, TX
Past

January 10, 2011 - October 16, 2017

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
BOERNE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(12/18/2024)
RR
Texas
(12/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/21/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/16/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZF
ZEUS FINANCIAL, LLC
TRANS-CAP SECURITIES, INC | ZEUSFINANCIALLLC.COM | ZEUSBD.COM | ZEUS SECURITIES, INC. | ZEUS SECURITIES, INC | ZEUS FINANCIAL, LLC

CRD#: 18192 / SEC#: , 8-36214

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4800 T-rex Avenue Suite 100, Boca Raton, FL 33431
Mailing Address
4800 T-rex Avenue Suite 100, Boca Raton, FL 33431
Phone number
(561) 708-0700
Established
Florida since 03/17/1986
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BUTKEVITS, LETICIA VERAMEMBER6717105
ORCHID BAY FINANCIAL HOLDINGS, LLCMEMBER
ACHILLE, RALPHCCO5875142
BUTKEVITS, VINCENT WILLIAM IIICEO1818987
KUMAR, PARDEEPMANAGING DIRECTOR5214503
PISCATELLI, DAVID ANTHONYCOO4027320
SHUMBERG, IVANA MARCELLAFINOP/PFO3167225
TROUSDALE, LAUREN NICOLEFINOP/POO5622407

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

ZEUS FINANCIAL, LLC

CRD#: 18192Boca Raton, FL 33431

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