D. S. Nichols

Some features on this profile are disabled

CRD#: 4976744

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

D. Steven Nichols, who also goes by Darrell Steven Nichols, was a registered financial professional .

D. is a previously registered financial professional and started their career in finance in 2005. D. had worked at 6 firms and has passed the Series 63, Series 66, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Darrell Steven Nichols

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 23, 2011 - January 2, 2013

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

August 9, 2006 - August 2, 2007

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

Past

April 17, 2006 - July 20, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

ST.PETERSBURG, FL

Past

April 7, 2006 - July 20, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

February 10, 2006 - March 10, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

TAMPA, FL

Past

November 14, 2005 - January 19, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TAMPA, FL

Past

November 10, 2005 - January 19, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 10, 2005 - January 19, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, 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".

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 6/11/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/13/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 5/21/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

Current Firm

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034

Phone number

(215) 887-8111

Established

Pennsylvania since 08/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,293

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

Direct owners and executive officers

Name	Position	CRD#
LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC	MEMBER/OWNER
ALEXANDER, DANIEL SEAN	EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER	4051341
BUETI, ANTHONY CHARLES	SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER	5876104
BURA, KAREN DOUGHERTY	VICE-PRESIDENT, CONTROLLER	1666006
ESTES, JASON CHRISTOPHER	EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER	7485210
FLAX, STEVEN NEIL	EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER	5655474
FORST, EDWARD SAMUEL JR	ELECTED MANAGER/CEO	708024
LECKEY, KATHLEEN KINSLOW	PRESIDENT, CHIEF OPERATING OFFICER	2447809
MATTSON, MAUREEN ANN	EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	5952728
MCCARTHY, DIANE MULHERRIN	EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER	4923328
MEHROTRA, SHASHI	SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER	2640875
OBERLIES, SUSAN MARY	SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY	3009149

Regulatory assets under management

Total Number of Accounts	201,292
AUM (Assets Under Management)	$ 18,904,482,714

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

D. S. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T. ROWE PRICE INVESTMENT SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LINCOLN INVESTMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/2011

Series 66

Date: 9/13/2005

Series 6

Date: 5/21/2011

Series 7

Date: 11/9/2005

Current Firm

LINCOLN INVESTMENT

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LINCOLN INVESTMENT

TRUST BUT VERIFY

Similar Advisors