Nikki V. Lude
COMMONWEALTH FINANCIAL SERVICES
Woodsfield, OH 43793
Some features on this profile are disabled
CRD#: 4780553
Professional summary
Nikki Von Lude, CFP®, ChFC®, who also goes by Nikki Von Baker, is a registered financial advisor currently at COMMONWEALTH FINANCIAL SERVICES located in Woodsfield, Ohio.
Nikki is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Nikki has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nikki Von Baker
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.
Monroe County Community Foundation Position: Board Member Nature: Monroe County Community Foundation Investment Related: No Hours: 2 Securities Trading Hours: 2 Start Date: 06/01/2014 Address: 160 S MAIN ST, WOODSFIELD, OH 43793 Monroe County 4H Endowment Committee Position: Vice President/board member Nature: Monroe County 4H Endowment Committee Investment Related: No Hours: 1 Securities Trading Hours: 1 Start Date: 06/01/2007 Address: 101 N Main St, Woodsfield OH 43793 GBNJ, LLC. Position: Owner Nature: GBNJ, LLC. Investment Related: No Hours: 5 Securities Trading Hours: 5 Start Date: 07/09/2019 Address: 166 S Main St, Woodsfield OH 43754 7/1/2019 - GBNJ LLC - Investment Related - 166 S Main St, Woodsfield, OH 43793 - Real Estate Rental - Started 07/15/2019 - 5 Hours Per Month/3 Hours During Securities Trading - Purchasing a building that will have 3 units available for rent, and my office will relocate to this address. HERITAGE FINANCIAL & INVESTMENT--a DBA name Lude Farms, LLC, part owner of a family farm, farming BAKER ECONOMIC DEVELOPMENT & SCHOLARSHIP FUNDS POSITION: Committee member NATURE: Baker Education & Economic Development Fund for Monroe County - Board Member John & Lois Baker Scholarship Fund - Board Member I serve as a board member for grant making & scholarship purposes from these funds that are held at the Columbus Foundation and Foundation for Appalachian Ohio. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2020 ADDRESS: 1234 E. Broad Street, Columbus OH 43205 DESCRIPTION: I serve on a selection committee for making grants and scholarships out of these 2 funds. Part of the assets are held at the Columubus Foundation and part are held at the Foundation for appalachian Ohio. NOTARY POSITION: Notary NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/19/2020 ADDRESS: 160 S. Main Street, Woodsfield OH 4379 DESCRIPTION: Notary APA POSITION: Investment Advisor NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 08/01/2019 ADDRESS: 160 S. Main Street, Woodsfield OH 43793, United States DESCRIPTION: Solicit based on client needs INSURANCE SALES POSITION: Insurance Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2019 ADDRESS: 160 S. Main Street, Woodsfield OH 43793, United States DESCRIPTION: Solicit based on client needs SKYVUE ELEMENTARY VOLLEYBALL COACH POSITION: Volleyball Coach NATURE: Coach INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 07/17/2024 ADDRESS: 33329 Hartshorn Ridge Rd, Woodsfield, OH 45734 DESCRIPTION: Skyvue Elementary Volleyball Coach for 3rd and 4th graders
CRS (Client Relationship Summary) - RIA
Click below to view Nikki Von Lude'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®
CFP®
Start date: 2008
Experience
Current
April 11, 2023 - Present
COMMONWEALTH FINANCIAL SERVICES
Office #1: 166 S. Main Street, Woodsfield, OH 43793RIA
CRD#: 324930
Woodsfield, OH
Past
August 1, 2019 - April 10, 2023
ARBOR POINT ADVISORS
RIA
CRD#: 165127
WOODSFIELD, OH
Past
August 1, 2019 - April 10, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WOODSFIELD, OH
Past
February 22, 2007 - August 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODSFIELD, OH
Past
July 22, 2005 - August 16, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODSFIELD, OH
Past
May 16, 2005 - July 26, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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".
CF
COMMONWEALTH FINANCIAL SERVICES
COMMONWEALTH FINANCIAL SERVICES | COMMONWEALTH FINANCIAL SERVICES, LLC.
CRD#: 324930 / SEC#: 801-127499
RIA
Registered Investment Advisory firm - (3/22/2023 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.Highlighted states indicate IAR registrations
IAR
Ohio(4/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
COMMONWEALTH FINANCIAL SERVICES
COMMONWEALTH FINANCIAL SERVICES | COMMONWEALTH FINANCIAL SERVICES, LLC.
CRD#: 324930 / SEC#: 801-127499
RIA
Registered Investment Advisory firm - (3/22/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
373 Timberline Parkway, Vienna, WV 26105
Mailing Address
Phone number
(304) 422-3531
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,851 |
| AUM (Assets Under Management) | $ 774,786,979 |
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.
