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CU

Christian E. Umhafer

NOVA CAPITAL SOLUTIONS
Pompano Beach, FL 33062
Some features on this profile are disabled
CRD#: 6694163
CU

Professional summary

Christian Eric Umhafer, who also goes by Chris Umhafer, is a registered financial professional currently at NOVA CAPITAL SOLUTIONS, LLC located in Pompano Beach, Florida.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2017. Christian has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Umhafer

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 Christian Eric Umhafer'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

December 20, 2017 - Present

NOVA CAPITAL SOLUTIONS, LLC

Office #1: 2125 E. Atlantic Boulevard, Pompano Beach, FL 33062
BD
CRD#: 174636
Pompano Beach, FL

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
(12/20/2017)
RR
New York
(2/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NOVA CAPITAL SOLUTIONS, LLC
NOVA CAPITAL SOLUTIONS, LLC

CRD#: 174636 / SEC#: , 8-69575

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

Main Address
2125 E. Atlantic Boulevard, Pompano Beach, FL 33062
Mailing Address
2125 E. Atlantic Boulevard, Pompano Beach, FL 33062
Phone number
(954) 663-9200
Established
Florida since 10/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UMHAFER, NEILSHAREHOLDER
KERSEY, KRISTA ANNPRESIDENT/CEO, CHIEF COMPLIANCE OFFICER1864116
COLOMBO, DOUGLASFINOP1858351
MEADOWS, CHRISTOPHER MATTHEWMANAGING DIRECTOR, COMPLIANCE OFFICER2315300

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

NOVA CAPITAL SOLUTIONS, LLC

CRD#: 174636Pompano Beach, FL 33062

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