Nicolas T. Sudderth

OPEN RANGE FINANCIAL GROUP

Manvel, TX

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CRD#: 7263844

Professional summary

Nicolas Ty Sudderth is a registered financial advisor currently at OPEN RANGE FINANCIAL GROUP, LLC located in Manvel, Texas.

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

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.

Open Range Insurance Group, LLC; Investment Related; 9500 Live Oak Ct, Manvel, TX 77578; Insurance Agency; Insurance Agent; 10/2023; 20 hours per month 10 during securities trading hours; insurance product sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas Ty Sudderth'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

February 17, 2021 - Present

OPEN RANGE FINANCIAL GROUP, LLC

RIA

CRD#: 175296

Manvel, TX

Past

September 15, 2020 - February 11, 2021

EDWARD JONES

RIA

CRD#: 250

SANTA FE, TX

Past

August 24, 2020 - February 11, 2021

EDWARD JONES

CRD#: 250

SANTA FE, TX

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

Texas
(2/17/2021)

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 66

Date: 9/12/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/28/2020

Securities Industry Essentials Examination

Current Firm

OPEN RANGE FINANCIAL GROUP, LLC

HANSON WEALTH MANAGEMENT, LLC | OPEN RANGE FINANCIAL GROUP, LLC

CRD#: 175296 / SEC#: 801-101484

RIA

Registered Investment Advisory firm - (12/16/2015 Terminated)

Colorado

Registered Investment Advisory firm - (8/18/2022 Approved)

Louisiana

Registered Investment Advisory firm - (11/30/2020 Approved)

Texas

Registered Investment Advisory firm - (12/15/2015 Approved)

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

Manvel, TX

Mailing Address

Po Box 966, Manvel, TX 77578

Phone number

(713) 706-3753

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 77,386,515

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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Nicolas T. Sudderth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas Ty Sudderth's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPEN RANGE FINANCIAL GROUP, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2020

Series 7TO

Date: 8/21/2020

SIE

Date: 7/28/2020

Current Firm

OPEN RANGE FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPEN RANGE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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