Tanya L. Nichols

ALIGN FINANCIAL

Hermantown, MN 55811

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CRD#: 4005676

Professional summary

Tanya Lynn Nichols, CFP®, who also goes by Tanya Lynn Westlund, Tanya Lynn Whitman, is a registered financial advisor currently at ALIGN FINANCIAL, LLC located in Hermantown, Minnesota.

Tanya is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Tanya has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tanya Lynn Westlund | Tanya Lynn Whitman

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.

Limitless Adviser Coaching. Address: Hermantown, MN Nature of the Business: Business Owner Position/Title: Proprietor/Owner Investment Related: No Start Date: 11/07/2019 Hours per month devoted to this business: 2 Hours per month devoted to this business during trading hours: 2 Description of duties: I'm doing a small amount of consulting for other financial advisors. I will charge a small fee for my time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tanya Lynn Nichols'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 1, 2021 - Present

ALIGN FINANCIAL, LLC

Office #1: 4960 Miller Trunk Hwy #600, Hermantown, MN 55811

RIA

CRD#: 309238

Hermantown, MN

Past

September 23, 2014 - February 19, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HERMANTOWN, MN

Past

September 19, 2014 - February 19, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HERMANTOWN, MN

Past

January 3, 2011 - September 23, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DULUTH, MN

Past

January 3, 2011 - September 23, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DULUTH, MN

Past

December 21, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

DULUTH, MN

Past

December 20, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

DULUTH, MN

Past

December 4, 2007 - December 23, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

DULUTH, MN

Past

March 17, 2006 - December 23, 2010

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

DULUTH, MN

Past

December 10, 2002 - March 27, 2006

PIPER SANDLER & CO.

CRD#: 665

DULUTH, 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".

ALIGN FINANCIAL, LLC

AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA

Registered Investment Advisory firm - (3/10/2025 Approved)

Minnesota

Registered Investment Advisory firm - (3/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(2/1/2021)

IAR

Texas
(5/6/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/6/2003

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: 12/9/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/2016

General Securities Principal Examination

Current Firm

ALIGN FINANCIAL, LLC

AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA

Registered Investment Advisory firm - (3/10/2025 Approved)

Minnesota

Registered Investment Advisory firm - (3/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2025 Terminated)

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Contact information

Main Address

4960 Miller Trunk Hwy #600, Hermantown, MN 55811

Mailing Address

Phone number

(218) 336-2506

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (8/6/2025)

2A BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 101,534,281

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

Tanya L. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tanya Lynn Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

ALIGN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2006

Series 63

Date: 1/6/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2002

Series 24

Date: 7/16/2016

Current Firm

ALIGN FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGN FINANCIAL, LLC

TRUST BUT VERIFY

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