TN
Tracey D. Nykiel
IMA WEALTH
Lake Forest, IL
Some features on this profile are disabled
CRD#: 3223477
TN
Professional summary
Tracey Donovan Nykiel, who also goes by Tracey D Kapica, Tracey Donovan Kapica, is a registered financial advisor currently at IMA WEALTH located in Lake Forest, Illinois.
Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Tracey has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey D Kapica | Tracey Donovan Kapica
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.
WELLINGTON MANAGEMENT COMPANY LLP (WMC), 280 CONGRESS STREET, BOSTON, MA 02210. BUSINESS IS INVESTMENT RELATED. WMC IS AN AFFILIATE OF THE FIRM. WMC PROVIDES DISCRETIONARY INVESTMENT ADVISORY SERVICES TO INSTITUTIONAL CLIENTS AND COLLECTIVE INVESTMENT SCHEMES. VICE PRESIDENT, ACCOUNT MANAGER, GLOBAL CONSULTANT RELATIONS. RESPONSIBLE FOR DEVELOPING AND ENHANCING WORKING RELATIONSHIPS BETWEEN WMC AND INVESTMENT CONSULTANTS. OCTOBER 2018. TIME SPENT ON OTHER BUSINESS CAN RANGE BETWEEN 5%-95%.
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Donovan Nykiel'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
June 10, 2025 - Present
IMA WEALTH
RIA
CRD#: 112091
Lake Forest, IL
Past
March 9, 2020 - June 22, 2023
WELLINGTON FUNDS DISTRIBUTORS INC.
BD
CRD#: 152768
CHICAGO, IL
Past
September 11, 2000 - December 13, 2002
MERCER SECURITIES, INC.
BD
CRD#: 44821
CHICAGO, IL
Past
August 26, 1999 - September 5, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
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
Colorado(6/10/2025)
IAR
Illinois(6/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/7/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
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Contact information
Main Address
1705 17th Street Suite 100, Denver, CO 80202
Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202
Phone number
(316) 266-6574
Established
Kansas since 06/23/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
46
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
