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VL

Vicki L. Lublin

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CRD#: 1457527
VL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Vicki Lynn Lublin, CFP® was a registered financial professional .

Vicki is a previously registered financial professional and started their career in finance in 1986. Vicki had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) OSAIC WEALTH, INC. POSITION: Registered Representative - NATURE: Securities trading - INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 60 START DATE: 01/1999 ADDRESS: W375N7847 Tamarack Drive, Oconomowoc WI 53066, United States DESCRIPTION: I educate clients on investment related products and provide investment related products. I assist clients with cash flow, net worth and investment strategies to help them reach their personal goals and objectives with regards to short-term and long-term goals, education planning and retirement planning. I establish and service the clients' accounts as needed, such as processing deposits, withdrawals and exchanges. 2) Notary POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2022 ADDRESS: W375 N7847 Tamarack Drive, Oconomowoc WI 53066, United States DESCRIPTION: START DATE reflects my last renewal date, I have been a Notary Public for years. Once every two years, I may witness a signature. It is simply a service that I offer to my clients as needed. 3) ELECTIONS POSITION: Poll Worker NATURE: United States, State of Wisconsin, Town of Oconomowoc INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/08/2022 ADDRESS: W359 N6812 Brown St, Oconomowoc WI 53066, United States DESCRIPTION: Register voters, issue ballots to voters, provide instruction and assistance to voters, explain use of voting processes, organize the polling place and similar tasks. 4) FINANCIAL MATTERS POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1992 ADDRESS: W375N7847 Tamarack Drive, Oconomowoc WI 53066, United States DESCRIPTION: Review insurance products and provide life, disability, and long term care insurance for clients who need the protection.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

September 9, 2022 - November 13, 2025

FINANCIAL MATTERS

RIA
CRD#: 113043
OCONOMOWOC, WI
Past

January 12, 1999 - November 6, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
OCONOMOWOC, WI
Past

March 1, 1996 - January 19, 1999

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

October 13, 1992 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

November 19, 1989 - September 21, 1992

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 19, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/26/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination

Current Firm

FM
FINANCIAL MATTERS
FINANCIAL MATTERS | VICKI L. LUBLIN | LUBLIN, VICKI LYNN

CRD#: 113043 / SEC#:

Wisconsin
Registered Investment Advisory firm - (1/8/1996 Approved)
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Contact information

Main Address
Oconomowoc, WI
Mailing Address
Phone number
(262) 468-4865
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Red Flags

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Company Information

FINANCIAL MATTERS

CRD#: 113043

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