Nicole Plumlee has been an investment adviser representative at RBA Wealth Management since January 2019, and is not listed among the firm’s executive officers or direct owners.
Rba Wealth Management, LLC is a Newport Beach, CA firm with $452M under management, 426 clients and 2 advisers in one office, as of its March 2026 filing.
Nicole Plumlee’s longest registration is the current one, 7 years at RBA Wealth Management since 2019. Before joining RBA Wealth Management in 2019, Nicole Plumlee was registered through Morgan Stanley and LPL Financial Corporation.
- Rba Wealth Management, LLCCurrent– present · 7 yearsNewport Beach, CA · Adviser representative · Firm CRD 291029
- Morgan Stanley– · 7 yearsNewport Beach, CA · Adviser representative · Firm CRD 149777
- LPL Financial Corporation– · 3 yearsIrvine, CA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Nicole Plumlee is registered as an investment adviser representative in California, since January 2019.
- CaliforniaSince 18 January 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 18 December 2008 |
| Series 7 | General Securities Representative Examination | 17 December 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 August 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 November 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 October 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Nicole Anastasia Plumlee
- CRD
- 2381800
- Firm
- RBA Wealth Management · CRD 291029
- Office
- 520 Newport Center Drive, Suite 740, Newport Beach, CA 92660
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicole Plumlee work?
Nicole Plumlee is an investment adviser representative registered through Rba Wealth Management, LLC since January 2019, and is not listed among the firm’s executive officers or direct owners.
Is Nicole Plumlee a financial advisor?
Yes. Nicole Plumlee has a current investment-adviser registration in California, through RBA Wealth Management since January 2019.
How many years of experience does Nicole Plumlee have?
Nicole Plumlee has 28 years in the financial industry, since May 1998, across 3 adviser firms.
What exams has Nicole Plumlee passed?
Nicole Plumlee has passed 5 licensing exams: the Series 63, Series 6, Series 65, Series 7 and Series 24. The earliest, the Series 63, was passed in October 1997. FINRA credited Nicole Plumlee with the SIE, which began in October 2018.
Where did Nicole Plumlee work before RBA Wealth Management?
Before RBA Wealth Management, Nicole Plumlee was registered through Morgan Stanley, September 2010 to November 2017; LPL Financial Corporation, August 2007 to September 2010.
Where is Nicole Plumlee based?
Nicole Plumlee’s registered office is in Newport Beach, CA.
Is Nicole Plumlee registered with FINRA?
Yes. Nicole Plumlee has a current broker registration, under CRD 2381800.
Source: FINRA BrokerCheck
How can I verify Nicole Plumlee’s record?
Search CRD 2381800 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicole Plumlee’s full registration record.