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NM

Nickolas W. Marcu

RA CAPITAL ADVISORS LLC
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 7536180
NM

Professional summary

Nickolas Woo Marcu, who also goes by Nick Woo Marcu, Nickolas Marcu Woo, is a registered financial professional currently at RA CAPITAL ADVISORS LLC located in San Diego, California.

Nickolas is registered as a RR (Registered Representative) and started their career in finance in 2022. Nickolas has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Woo Marcu | Nickolas Marcu Woo

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) - BD

Click below to view Nickolas Woo Marcu'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

April 28, 2022 - Present

RA CAPITAL ADVISORS LLC

Office #1: 11988 El Camino Real Suite 350, San Diego, CA 92130Office #2: 11988 El Camino Real Suite 350, San Diego, CA 92130
BD
CRD#: 40992
San Diego, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(8/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/24/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RC
RA CAPITAL ADVISORS LLC
BATCHELDER & PARTNERS, INC. | RELATIONAL ADVISORS LLC | RA CAPITAL ASSOCIATES LLC | RA CAPITAL ADVISORS LLC

CRD#: 40992 / SEC#: , 8-49263

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11988 El Camino Real Suite 350, San Diego, CA 92130
Mailing Address
11988 El Camino Real Suite 350, San Diego, CA 92130
Phone number
(858) 704-3200
Established
Delaware since 12/02/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PETERS, ELIOT JEROMEPRINCIPAL4808787
ZEHENTBAUER, JAMES JEFFREYPRINCIPAL, FINOP1977600
MCDOWELL, KAYLA ALEHAUNDRIACCO AND COO5708837

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.

Company Information

RA CAPITAL ADVISORS LLC

CRD#: 40992San Diego, CA 92130

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