Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Anastasia Plumlee is an investment advisor representative at RBA Wealth Management, LLC. She is a registered investment advisor and a registered representative. Nicole has been in the financial services industry since 1997. Her previous experience includes working for Morgan Stanley and LPL Financial Corporation. Nicole is also the Chief Operating Officer for RBA Wealth Management. She is a licensed agent and registered representative in California. She holds several securities licenses, including the Series 6, 7, 24, 63 and 65. Nicole's specializations include portfolio management for individuals and businesses, financial planning and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
01/18/2019 - Present
RBA Wealth Management, LLC (Newport Beach CA)
CA
08/27/2010 - 11/06/2017
MORGAN STANLEY (NEWPORT BEACH CA)
CA
11/18/1997 - 09/07/2010
LPL FINANCIAL CORPORATION (IRVINE CA)
IA
Issued 08/10/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/17/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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