Ekaterina A. Nuce

FIRST FOUNDATION ADVISORS

Irvine, CA 92612

Some features on this profile are disabled

CRD#: 7403313

Professional summary

Ekaterina A. Nuce, who also goes by Ekaterina A Shvatova, is a registered financial advisor currently at FIRST FOUNDATION ADVISORS located in Irvine, California.

Ekaterina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Ekaterina has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ekaterina A Shvatova

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) - RIA

Click below to view Ekaterina A. Nuce'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

October 11, 2021 - Present

FIRST FOUNDATION ADVISORS

Office #1: 18101 Von Karman Avenue Ste 700, Irvine, CA 92612

RIA

CRD#: 106075

Irvine, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

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

California
(10/11/2021)

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 65

Date: 10/11/2021

Uniform Investment Adviser Law Examination

Current Firm

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051

Mailing Address

Phone number

(949) 476-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST FOUNDATION ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 5,445,880,088

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
12/04/2024	Cover Page	Report
09/27/2024	Cover Page	Report
08/30/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ekaterina A. Nuce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ekaterina A. Nuce's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST FOUNDATION ADVISORS

Primary Firm SEC Registration

FIRST FOUNDATION ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2021

Current Firm

FIRST FOUNDATION ADVISORS

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST FOUNDATION ADVISORS

TRUST BUT VERIFY

Similar Advisors