Nolan P. Raimo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nolan Patrick Raimo, who also goes by Nolan Raimo, was a registered financial professional .
Nolan is a previously registered financial professional and started their career in finance in 2017. Nolan had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2021 - December 7, 2022
APELLA WEALTH
February 22, 2019 - January 6, 2020
PUTNAM INVESTMENT MANAGEMENT, LLC
February 15, 2019 - January 6, 2020
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 10, 2017 - January 30, 2019
DIMENSIONAL FUND ADVISORS LP
March 13, 2017 - January 30, 2019
DFA SECURITIES LLC
Primary Firm SEC Registration
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,172 |
| AUM (Assets Under Management) | $ 7,953,076,688 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 03/29/2024 | ||
| 04/30/2023 |
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.
