Nicholas A. Ring

GPWA

Franklin, TN

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CRD#: 6888738

Professional summary

Nicholas Andrew Ring, who also goes by Nicholas Ring, Nick Ring, is a registered financial advisor currently at GPWA, LLC located in Franklin, Tennessee.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Ring | Nick Ring

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.

Williamson County DoEC Non-investment related 304 Beasley Dr, Franklin, TN 37067 Telecommunications Position: 911 Dispatcher Start Date: 11/14/2022 160 hours per month 112 hours per month during securities trading hours Nick will be serving as a 911 Dispatcher serving Williamson County

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Andrew Ring's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Andrew Ring's CRS (Customer Relationship Summary).

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FRANKLIN, TN

Past

September 16, 2020 - June 16, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

FRANKLIN, TN

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.

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

Tennessee
(6/22/2023)

Tennessee
(6/23/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/16/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/8/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

GPWA, LLC

GPWA, LLC | GRAMERCY PARK WEALTH ADVISORS, LLC

CRD#: 170171 / SEC#: , 8-69413

Georgia

Registered Investment Advisory firm - SEC (2/15/2023 Approved)

Michigan

Registered Investment Advisory firm - SEC (11/28/2018 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (10/2/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2400 Barton Ave., Nashville, TN 37212

Mailing Address

2400 Barton Ave., Nashville, TN 37212

Phone number

(615) 424-2118

Established

Tennessee since 01/29/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COTE, BRIAN JOSEPH	CEO/ CCO	4218494
BEATON, DANIEL STEWART	FINOP	4240769

Regulatory assets under management

Total Number of Accounts	321
AUM (Assets Under Management)	$ 88,197,399

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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Firm Stability Insights

Nicholas A. Ring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Andrew Ring's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Andrew Ring's CRS (Customer Relationship Summary).

Certified licenses

Experience

GPWA, LLC

GPWA, LLC

GPWA, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2020

Series 7TO

Date: 9/16/2020

SIE

Date: 6/8/2019

FINRA

Current Firm

GPWA, LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GPWA, LLC

TRUST BUT VERIFY

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