Nicholas A Duthie
Professional Summary
Nicholas A Duthie, who also goes by Nicholas Alexander Duthie, is a registered financial advisor currently at DBM ADVISORS, LLC located in Oklahoma City, Oklahoma. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicholas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Alexander Duthie
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Current Firm
BIGGS FINANCIAL | DBM ADVISORS, LLC
Contact Information
Main Address
101 Park Ave Ste 400, Oklahoma City, OK 73102Phone Number
(405) 601-5498# of Employees
2Documents
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
State Registrations and Notice Filings
(6/14/2018)
(6/8/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas A Duthie's CRS (Customer Relationship Summary).
Similar Advisors
VALIDUS CAPITAL LLC
SIMPLICITY WEALTH
PENINSULA EQUITY CAPITAL
D.A. DAVIDSON & CO.