Michael R. Lacey

NICOLET WEALTH MANAGEMENT

Dubuque, IA 52004

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CRD#: 4001455

Professional summary

Michael Richard Lacey, who also goes by Mike Lacey, is a registered financial advisor currently at NICOLET WEALTH MANAGEMENT located in Dubuque, Iowa and PRIVATE CLIENT SERVICES, LLC located in Dubuque, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Lacey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richard Lacey's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 17, 2026 - Present

NICOLET WEALTH MANAGEMENT

Office #1: 895 Main St, Dubuque, IA 52004

RIA

CRD#: 283940

Dubuque, IA

Current

April 17, 2026 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 895 Main Street, Dubuque, IA 52001

RIA

CRD#: 120222

Dubuque, IA

Past

January 4, 2022 - April 27, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

DUBUQUE, IA

Past

January 4, 2022 - April 27, 2026

LPL FINANCIAL LLC

CRD#: 6413

DUBUQUE, IA

Past

March 19, 2021 - December 21, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 8, 2020 - November 29, 2020

PRUDENTIAL SELECT STRATEGIES LLC

RIA

CRD#: 286153

Dubuque, IA

Past

May 9, 2018 - February 26, 2021

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

Dubuque, IA

Past

October 11, 2017 - April 5, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONROE, WI

Past

October 11, 2017 - April 5, 2018

LPL FINANCIAL LLC

CRD#: 6413

MONROE, WI

Past

October 10, 2007 - October 10, 2017

GLOBAL PORTFOLIO STRATEGIES, INC.

RIA

CRD#: 105812

DUBUQUE, IA

Past

July 21, 2005 - October 10, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

DUBUQUE, IA

Past

April 15, 2004 - November 18, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

December 13, 1999 - May 29, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

NICOLET WEALTH MANAGEMENT

NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA

Registered Investment Advisory firm - (8/5/2016 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/17/2026)

California
(4/17/2026)

Colorado
(4/17/2026)

Connecticut
(4/17/2026)

Florida
(4/17/2026)

Georgia
(4/17/2026)

Hawaii
(4/17/2026)

Illinois
(4/17/2026)

Indiana
(4/17/2026)

Iowa
(4/17/2026)

IAR

Iowa
(4/17/2026)

Kentucky
(4/17/2026)

Minnesota
(4/17/2026)

Missouri
(4/17/2026)

Montana
(4/17/2026)

Nebraska
(4/17/2026)

Nevada
(4/17/2026)

New Jersey
(4/17/2026)

New York
(4/17/2026)

Ohio
(4/17/2026)

South Dakota
(4/17/2026)

Texas
(4/17/2026)

Virginia
(4/17/2026)

Washington
(4/17/2026)

Wisconsin
(4/17/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/10/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NICOLET WEALTH MANAGEMENT

NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA

Registered Investment Advisory firm - (8/5/2016 Approved)

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Contact information

Main Address

111 N. Washington Street, Green Bay, WI 54301

Mailing Address

Phone number

(920) 430-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWM - RETIREMENT PLAN SERVICES (3/28/2025)

WRAP FEE BROCHURE FOR NICOLET ADVISORY SERVICES, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,809
AUM (Assets Under Management)	$ 3,849,158,087

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.

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Advisor Monitoring

Firm Stability Insights

Michael R. Lacey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richard Lacey's CRS (Customer Relationship Summary).

Certified licenses

Experience

NICOLET WEALTH MANAGEMENT

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EMPOWER FINANCIAL SERVICES, INC.

PRUDENTIAL SELECT STRATEGIES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GLOBAL PORTFOLIO STRATEGIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

FARMERS FINANCIAL SOLUTIONS, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NICOLET WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2007

Series 63

Date: 5/7/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2006

Series 6

Date: 12/10/1999

FINRA

Current Firm

NICOLET WEALTH MANAGEMENT

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NICOLET WEALTH MANAGEMENT

TRUST BUT VERIFY

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