Stephen L. Nickel

CULLEN INVESTMENT GROUP, LTD.

Lafayette, LA 70503

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CRD#: 4305828

Professional summary

Stephen Lloyd Nickel, CFP® is a registered financial advisor currently at CULLEN INVESTMENT GROUP, LTD. located in Lafayette, Louisiana.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

RED DRUM, LLC 521 SW COURT CIRCLE CROWLEY, LA 70526, NOT INVESTMENT RELATED, RENTAL PROPERTY, MANAGER, 09/2002 - PRESENT, 1 HR/MONTH (NONE DURING TRADING HOURS), BALANCE BOOKS FOR COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lloyd Nickel'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: 2017

Experience

Current

September 30, 2003 - Present

CULLEN INVESTMENT GROUP, LTD.

Office #1: 1404 S. College Rd., Lafayette, LA 70503

RIA

CRD#: 18266

Lafayette, LA

Past

September 15, 2003 - December 13, 2024

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266

CROWLEY, LA

Past

May 7, 2003 - September 25, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

CROWLEY, LA

Past

October 1, 2002 - September 25, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

February 14, 2001 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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".

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA

Registered Investment Advisory firm - SEC (7/9/2002 Approved)

Terminated by SEC on 12/14/2024

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

Louisiana
(9/30/2003)

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 65

Date: 5/7/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/2002

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: 2/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2013

General Securities Principal Examination

Current Firm

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA

Registered Investment Advisory firm - SEC (7/9/2002 Approved)

Terminated by SEC on 12/14/2024

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Contact information

Main Address

1404 S. College Rd., Lafayette, LA 70503

Mailing Address

P.o. Box 53669, Lafayette, LA 70505-3669

Phone number

(337) 237-8000

Established

Louisiana since 10/15/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CULLEN INVESTMENT GROUP - DISCLOSURE BROCHURE (FORM ADV PART 2A) (1/14/2025)

Direct owners and executive officers

Name	Position	CRD#
BORDES, DAVID CULLEN	PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, SUPERVISORY PRINCIPAL OF BRANCH OFFICES	817884
NICKEL, STEPHEN LLOYD	VICE PRESIDENT AND DIRECT OWNER	4305828

Regulatory assets under management

Total Number of Accounts	1,424
AUM (Assets Under Management)	$ 795,470,355

Disclosures

Regulatory Event

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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Stephen L. Nickel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lloyd Nickel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CULLEN INVESTMENT GROUP, LTD.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

CULLEN INVESTMENT GROUP, LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2002

Series 63

Date: 3/21/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2001

Series 24

Date: 1/7/2013

Current Firm

CULLEN INVESTMENT GROUP, LTD.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CULLEN INVESTMENT GROUP, LTD.

TRUST BUT VERIFY

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