Nicholas A. Ring
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.
Nicholas Andrew Ring, who also goes by Nicholas Ring, Nick Ring, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2020. Nicholas had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2023 - January 7, 2026
GPWA, LLC
June 22, 2023 - January 7, 2026
GPWA, LLC
June 3, 2021 - November 14, 2022
GPWA, LLC
June 1, 2021 - November 14, 2022
GPWA, LLC
October 22, 2020 - June 16, 2021
EQUITABLE ADVISORS, LLC
September 16, 2020 - June 16, 2021
EQUITABLE ADVISORS, LLC
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
Series 7TO
Date: 9/16/2020
General Securities Representative ExaminationCurrent Firm
GPWA, LLC
CRD#: 170171 / SEC#: , 8-69413
Contact information
FINRA licenses (12 States and Territories)
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.
