Thea Nesis

APPLIED WEALTH MANAGEMENT

SANTA MONICA, CA

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CRD#: 6580176

Professional summary

Thea Nesis is a registered financial advisor currently at APPLIED WEALTH MANAGEMENT located in Santa Monica, California and THEA NESIS, LLC located in Santa Monica, California.

Thea is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Thea has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

THEA NESIS LLC; INVESTMENT RELATED; OWNER/CONSULTANT; SANTA MONICA, CALIFORNIA; SPENDS 5 HRS/MONTH DURING TRADING HOURS; CONSULTING AND INTRODUCING SOLICITOR. APPLIED WEATH MANAGEMENT; INVESTMENT RELATED; BAKERSFIELD, CA; SOLICITOR; SPENDS UP TO 2 HRS/MONTH DURING TRADING HOURS; SOLICITS CLIENTS TO RIA. LAWYER; INVESTMENT RELATED; DOES NOT SPEND ANY TIME TO THIS AS SHE DOES NOT ACTIVELY PRACTICE LAW.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thea Nesis'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

November 17, 2022 - Present

APPLIED WEALTH MANAGEMENT

RIA

CRD#: 318732

SANTA MONICA, CA

Current

June 14, 2023 - Present

THEA NESIS, LLC

RIA

CRD#: 325592

Santa Monica, CA

Past

April 14, 2016 - September 11, 2019

COMPOSITION WEALTH, LLC

RIA

CRD#: 143483

LOS ANGELES, CA

Past

November 5, 2015 - August 30, 2018

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

Santa Monica, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(11/17/2022)

IAR

California
(6/14/2023)

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

State Security Law Exam

IAR

Series 65

Date: 12/9/2022

Uniform Investment Adviser Law Examination

Current Firm

APPLIED WEALTH MANAGEMENT

APPLIED WEALTH MANAGEMENT | APPLIED WEALTH MANAGEMENT FINANCIAL & INSURANCE SERVICES LLC

CRD#: 318732 / SEC#:

California

Registered Investment Advisory firm - (4/29/2022 Approved)

Georgia

Registered Investment Advisory firm - (10/20/2022 Approved)

Nevada

Registered Investment Advisory firm - (8/11/2022 Approved)

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Contact information

Main Address

5500 Ming Ave Suite 265, Bakersfield, CA 93309

Mailing Address

Phone number

(818) 726-1842

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 44,000,000

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.

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Thea Nesis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thea Nesis's CRS (Customer Relationship Summary).

Certified licenses

Experience

APPLIED WEALTH MANAGEMENT

THEA NESIS, LLC

COMPOSITION WEALTH, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2022

Current Firm

APPLIED WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APPLIED WEALTH MANAGEMENT

TRUST BUT VERIFY

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