Nicole M. Farbo

JOHNSON WEALTH

Racine, WI 53403

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CRD#: 5614892

Professional summary

Nicole Marie Farbo, CFP®, who also goes by Nikki Farbo, Nicole Marie Gold, Nicole Gold, Nikki Gold, is a registered financial advisor currently at JOHNSON WEALTH INC. located in Racine, Wisconsin.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Nicole has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nikki Farbo | Nicole Marie Gold | Nicole Gold | Nikki Gold

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.

1) July 2023 - Johnson Bank; investment related affiliate; 555 Main Street, Racine, WI; wealth management, trust services, banking, loans; Vice President and Wealth Advisor; full-time wealth advisor and dual employee of Johnson Bank and Johnson Wealth. 2) March 2021 - State of Wisconsin Notary- Inv. Related- Kenosha, WI- start date 1/1/2018- 1hr/mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Marie Farbo'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: 2022

Experience

Current

August 23, 2023 - Present

JOHNSON WEALTH INC.

Office #1: 555 Main Street, Racine, WI 53403

RIA

CRD#: 125557

Racine, WI

Past

March 4, 2021 - August 7, 2023

LPL FINANCIAL LLC

CRD#: 6413

KENOSHA, WI

Past

March 3, 2021 - August 7, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

KENOSHA, WI

Past

May 26, 2017 - January 7, 2020

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

WAUKESHA, WI

Past

May 26, 2017 - January 7, 2020

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

WAUKESHA, WI

Past

January 16, 2013 - January 6, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MILWAUKEE, WI

Past

January 4, 2013 - January 6, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MILWAUKEE, WI

Past

January 28, 2009 - January 6, 2011

EDWARD JONES

RIA

CRD#: 250

AURORA, IL

Past

January 6, 2009 - January 6, 2011

EDWARD JONES

CRD#: 250

AURORA, IL

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".

JOHNSON WEALTH INC.

CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA

Registered Investment Advisory firm - (3/4/2003 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

Wisconsin
(8/23/2023)

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 66

Date: 1/16/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2009

General Securities Representative Examination

Current Firm

JOHNSON WEALTH INC.

CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA

Registered Investment Advisory firm - (3/4/2003 Approved)

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Contact information

Main Address

555 East Wells Street Suite 1900, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 291-4500

Established

Firm type

Fiscal year end

# of Employees

132

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JWI BROCHURE 3-27-2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,888
AUM (Assets Under Management)	$ 9,109,318,040

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
12/21/2022	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.

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Advisor Monitoring

Firm Stability Insights

Nicole M. Farbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Marie Farbo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

JOHNSON WEALTH INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2009

Current Firm

JOHNSON WEALTH INC.

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHNSON WEALTH INC.

TRUST BUT VERIFY

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