NT
Nicole W. Tietel
WINTER & ASSOCIATES
Saint Paul, MN 55105
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CRD#: 2640324
NT
Professional summary
Nicole Winter Tietel, who also goes by Nicole A Winter, Nicole Ann Winter, is a registered financial advisor currently at WINTER & ASSOCIATES, INC. located in Saint Paul, Minnesota.
Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Nicole has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole A Winter | Nicole Ann Winter
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.) NAME OF OBA: BOOK AUTHOR; DESCRIPTION: BOOK AUTHOR; ADDRESS OF OBA: ST. PAUL, MN; NATURE: AUTHOR; INVESTMENT RELATED: NO; RELATIONSHIP WITH OBA: OWNER; DUTIES: AUTHOR; START DATE: 1/1/2015; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: WILLIAM & CHRISTINE BLUHM FAMILY TRUST; DESCRIPTION: TRUSTEE; ADDRESS OF OBA: ST. PAUL, MN; NATURE: TRUSTEE; INVESTMENT RELATED: NO; RELATIONSHIP WITH OBA: TRUSTEE; DUTIES: TRUSTEE; START DATE: 8/1/2013; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: WINTER ALL WEATHER PROPERTIES, LLC; ADDRESS OF OBA: 964 GRAND AVENUE, ST. PAUL, MN 55105; NATURE: SEPARATE ENTITY TO OWN WINTER & ASSOCIATES OFFICE BUILDING; INVESTMENT RELATED: NO; TITLE WITH OBA: CO-OWNER; 50% NICOLE/50% MICHAEL JOSEPH TIETEL (SPOUSE); DUTIES: HOLDING COMPANY TO SEPARATE OWNERSHIP OF COMMERCIAL REAL ESTATE OFFICE BUILDING. AUTHORIZED SIGNER OF CHECKS AND BANK ACCOUNT AND MAKES ALL DECISIONS ALONG WITH PARTNER/HUSBAND MICHAEL; START DATE: 10/01/2024; APPROX. NUMBER OF HOURS/MONTH: 5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 5. (4.) NAME OF OBA: ST. CROIX VALLEY FINANCE & INVESTMENT COMMITTEE; ADDRESS OF OBA: 1830 HANLEY ROAD, SUITE 200, HUDSON, WI 54016; NATURE: LAND AND RIVER WATERSHED PRESERVATION; INVESTMENT RELATED: YES; TITLE WITH OBA: COMMITTEE MEMBER; DUTIES: COMMITTEE MEMBER TO REVIEW FOUNDATION'S 3RD PARTY MANAGEMENT OF ENDOWMENT, AND BUDGETING, WITH NO DIRECT CONNECTION TO ANY OF THE FUNDS, CHARITY CHECKBOOK, SIGNING AUTHORITY, ETC.; START DATE: 10/01/2024; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Winter Tietel's 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®
NoneExperience
Current
January 4, 2021 - Present
WINTER & ASSOCIATES, INC.
Office #1: 964 Grand Avenue, Saint Paul, MN 55105RIA
CRD#: 310349
Saint Paul, MN
Past
January 16, 2014 - January 6, 2021
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST PAUL, MN
Past
January 16, 2014 - January 6, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
ST PAUL, MN
Past
March 9, 2001 - January 6, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
ST PAUL, MN
Past
July 19, 1995 - January 6, 2021
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST PAUL, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
W&
WINTER & ASSOCIATES, INC.
WINTER & ASSOCIATES, INC.
CRD#: 310349 / SEC#: 801-123146
RIA
Registered Investment Advisory firm - (2/2/2022 Approved)Minnesota
Registered Investment Advisory firm - (3/1/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Minnesota(1/4/2021)
IAR
Texas(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
W&
WINTER & ASSOCIATES, INC.
WINTER & ASSOCIATES, INC.
CRD#: 310349 / SEC#: 801-123146
RIA
Registered Investment Advisory firm - (2/2/2022 Approved)Minnesota
Registered Investment Advisory firm - (3/1/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
964 Grand Avenue, St. Paul, MN 55105
Mailing Address
Phone number
(651) 414-5000
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 147,479,629 |
Red Flags
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Company Information
WINTER & ASSOCIATES, INC.
CRD#: 310349Saint Paul, MN 55105TRUST BUT VERIFY
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Contact information
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