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Chief Compliance Officer · Elm3 Financial Group, LLC

Margaret Nickens

CRD 7497497 · Named on Form ADV at one SEC-registered adviser

At a glance

Elm3 Financial Group, LLC, an SEC-registered wealth manager based in Alpharetta, GA with $189 million in regulatory assets, lists Margaret Nickens on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Margaret’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Stacey A. NickensChief Investment Officer/ President/member, Elm3 Financial Group, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Margaret’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.