Nicole E. Lanning

ANDERSON FINANCIAL STRATEGIES

DAYTON, OH 45423

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CRD#: 5491560

Professional summary

Nicole E Lanning, who also goes by Nicole E Spain, Nicole Elizabeth Spain, Nicole Elizabeth Woehle, is a registered financial advisor currently at ANDERSON FINANCIAL STRATEGIES, LLC located in Dayton, Ohio.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Nicole has worked at 4 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole E Spain | Nicole Elizabeth Spain | Nicole Elizabeth Woehle

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole E Lanning'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®

None

Experience

Current

June 20, 2024 - Present

ANDERSON FINANCIAL STRATEGIES, LLC

Office #1: 2500 Stratacache Tower 40 N Main St., Dayton, OH 45423

RIA

CRD#: 290343

DAYTON, OH

Past

August 16, 2011 - January 10, 2020

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 21, 2008 - June 23, 2011

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

September 8, 2008 - November 20, 2008

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

COLORADO SPRINGS, CO

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".

ANDERSON FINANCIAL STRATEGIES, LLC

CRD#: 290343 / SEC#: 801-121691

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

Ohio

Registered Investment Advisory firm - (2/18/2022 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

Ohio
(6/20/2024)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/5/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ANDERSON FINANCIAL STRATEGIES, LLC

CRD#: 290343 / SEC#: 801-121691

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

Ohio

Registered Investment Advisory firm - (2/18/2022 Terminated)

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Contact information

Main Address

2500 Stratacache Tower 40 N Main St., Dayton, OH 45423

Mailing Address

Phone number

(855) 237-4545

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANDERSON FINANCIAL STRATEGIES, LLC ADV PART 2A/B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 348,055,211

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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Nicole E. Lanning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole E Lanning's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDERSON FINANCIAL STRATEGIES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

TRANSAMERICA CAPITAL, LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ANDERSON FINANCIAL STRATEGIES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 9/5/2008

Current Firm

ANDERSON FINANCIAL STRATEGIES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDERSON FINANCIAL STRATEGIES, LLC

TRUST BUT VERIFY

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