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MN

Mark S. Nicholas

TRANSFORM RETIREMENT
De Pere, WI
Some features on this profile are disabled
CRD#: 4584095
MN

Professional summary

Mark Stephen Nicholas is a registered financial advisor currently at TRANSFORM RETIREMENT located in De Pere, Wisconsin.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stephen Nicholas'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®
None

Experience

Current

November 3, 2021 - Present

TRANSFORM RETIREMENT

Office #2: 340 North Broadway Street Suite 200, Green Bay, WI 54303
RIA
CRD#: 317252
De Pere, WI
Past

November 25, 2020 - November 2, 2021

NEWPORT GROUP CONSULTING, LLC

RIA
CRD#: 140944
De Pere, WI
Past

November 3, 2010 - November 27, 2018

EMPLOYER RETIREMENT INVESTMENT ADVISORS, LLC

RIA
CRD#: 153254
DE PERE, WI
Past

April 16, 2009 - October 21, 2010

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
DE PERE, WI
Past

January 1, 2007 - April 27, 2007

STANCORP INVESTMENT ADVISERS, INC.

RIA
CRD#: 110228
PORTLAND, OR
Past

January 1, 2007 - April 27, 2007

STANCORP EQUITIES, INC.

BD
CRD#: 19517
MECHANICSBURG, PA
Past

January 5, 2005 - January 1, 2007

INVESMART ADVISORS INC

RIA
CRD#: 108731
MECHANICSBURG, PA
Past

September 15, 2004 - January 1, 2007

INVESMART SECURITIES, LLC

BD
CRD#: 104168
MECHANICSBURG, PA
Past

December 20, 2002 - August 31, 2004

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY

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
Wisconsin
(11/3/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/25/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/19/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TR
TRANSFORM RETIREMENT
TRANSFORM RETIREMENT | TRANSFORM RETIREMENT, LLC

CRD#: 317252 / SEC#:

Wisconsin
Registered Investment Advisory firm - (11/3/2021 Approved)
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Contact information

Main Address
De Pere, WI
Mailing Address
118 N. Monroe Ave #848, Green Bay, WI 54305
Phone number
(920) 217-5398
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts86
AUM (Assets Under Management)$ 13,797,154

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.

Company Information

TRANSFORM RETIREMENT

CRD#: 317252De Pere, WI

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