MN
Margaret Nickens
ELM3 FINANCIAL GROUP
Alpharetta, GA 30022-1145
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CRD#: 7497497
MN
Professional summary
Margaret Nickens is a registered financial advisor currently at ELM3 FINANCIAL GROUP, LLC located in Alpharetta, Georgia.
Margaret is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Margaret has worked at 1 firm and has passed the Series 65 exam.
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.
Margaret Nickens provides payroll services for Elm3 CPA, Tax and Accounting. This business is not investment-related and is located at 5755 North Point Parkway, Suite 92. The business provides tax, bookkeeping, and payroll services. Margaret Nickens began providing payroll services in August 2023 and works for this business for around 20 hours per month, none of which are during trading hours. Margaret runs payroll for small businesses.
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Nickens'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®
NoneExperience
Current
March 2, 2022 - Present
ELM3 FINANCIAL GROUP, LLC
Office #1: 5755 North Point Pkwy Suite 92, Alpharetta, GA 30022-1145RIA
CRD#: 140594
Alpharetta, GA
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".
EF
ELM3 FINANCIAL GROUP, LLC
AMERICAN MONEY MANAGEMENT | ELM3 FINANCIAL GROUP, LLC | ATFG | AMERICAN TAX & FINANCIAL GROUP, LLC | AMERICAN MONEY MANAGEMENT, LLC
CRD#: 140594 / SEC#: 801-126278
RIA
Registered Investment Advisory firm - (8/3/2022 Approved)Florida
Registered Investment Advisory firm - (9/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (9/14/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/12/2022 Terminated)Texas
Registered Investment Advisory firm - (9/2/2022 Terminated)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
Colorado(8/11/2023)
IAR
Georgia(3/2/2022)
IAR
Texas(4/24/2024)
Current Firm
EF
ELM3 FINANCIAL GROUP, LLC
AMERICAN MONEY MANAGEMENT | ELM3 FINANCIAL GROUP, LLC | ATFG | AMERICAN TAX & FINANCIAL GROUP, LLC | AMERICAN MONEY MANAGEMENT, LLC
CRD#: 140594 / SEC#: 801-126278
RIA
Registered Investment Advisory firm - (8/3/2022 Approved)Florida
Registered Investment Advisory firm - (9/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (9/14/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/12/2022 Terminated)Texas
Registered Investment Advisory firm - (9/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5755 North Point Pkwy Suite 92, Alpharetta, GA 30022-1145
Mailing Address
Phone number
(678) 297-9500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 631 |
| AUM (Assets Under Management) | $ 159,125,234 |
Red Flags
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