NR
Nicole M. Roubik
DAI WEALTH
WAYZATA, MN 55391
Some features on this profile are disabled
CRD#: 6039380
NR
Professional summary
Nicole Marie Roubik, who also goes by Nicole Marie Roubik, Nicole Roubik, is a registered financial advisor currently at DAI WEALTH, LLC located in Wayzata, Minnesota and DAI SECURITIES, LLC located in Mankato, Minnesota.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicole has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Marie Roubik | Nicole Roubik
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.
1)JODI K. CORRIGAN CPA,LLC;NOT INVESTMENT RELATED;150 ST. ANDREWS COURT,SUITE 210,MANKATO,MN 56001;ACCOUNTING AND TAX PREPARATION;ADMIN ASSISTANT(PART-TIME);12/1/2013;20 HRS/MONTH;0 HRS DURING TRADING;ASSISTING WITH SCANNING,FILING,ASSEMBLING TAX PAPERS
2)Discipline Advisors, Inc.; Investment Related; 150 St. Andrews Ct., Suite 210, Mankato, MN 56001; Manager Client Services, 09/2011, 160 hrs/month; 8 hrs/day; manages client service team, provides client service and assistance with client transactions for Broker Dealer and Advisory clients.
3) JG Michaletz Agency; Investment Related; 150 St. Andrews Ct., Suite 210, Mankato, MN 56001; Not an active producer. 09/2011.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Marie Roubik'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®
NoneExperience
Current
January 29, 2014 - Present
DAI WEALTH, LLC
Office #1: 15600 Wayzata Blvd Suite 301, Wayzata, MN 55391RIA
CRD#: 138938
WAYZATA, MN
Current
May 14, 2018 - Present
DAI SECURITIES, LLC
Office #1: 150 St. Andrews Ct., Suite 210, Mankato, MN 56001Office #2: 15600 Wayzata Blvd Suite 301, Wayzata, MN 55391BD
CRD#: 36673
Mankato, MN
Past
October 16, 2015 - April 17, 2018
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Mankato, MN
Past
September 27, 2012 - October 22, 2015
TRIAD ADVISORS LLC
BD
CRD#: 25803
MANKATO, MN
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".
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 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
IAR
Minnesota(1/29/2014)
RR
Minnesota(5/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
Phone number
(404) 531-7080
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 267,417,235 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
