NW
Nicole Y. Wiggins
LPL ENTERPRISE
HUNTERSVILLE, NC
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CRD#: 5955206
NW
Professional summary
Nicole Yvette Wiggins, who also goes by Nicole Yvette Norris, Nicole Norris, Nicole Wiggins, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Huntersville, North Carolina.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2014. Nicole has worked at 5 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole Yvette Norris | Nicole Norris | Nicole Wiggins
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicole Yvette Wiggins'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®
NoneExperience
Current
April 9, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
HUNTERSVILLE, NC
Past
November 9, 2022 - March 18, 2024
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
Past
July 21, 2021 - October 25, 2022
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
CHARLOTTE, NC
Past
February 11, 2019 - August 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
May 16, 2014 - May 28, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/24/2024)
RR
Alaska(10/24/2024)
RR
Arizona(10/24/2024)
RR
Arkansas(10/24/2024)
RR
California(10/24/2024)
RR
Colorado(10/24/2024)
RR
Connecticut(10/24/2024)
RR
Delaware(10/24/2024)
RR
District of Columbia(10/24/2024)
RR
Florida(4/9/2024)
RR
Georgia(10/24/2024)
RR
Hawaii(10/24/2024)
RR
Idaho(10/24/2024)
RR
Illinois(10/24/2024)
RR
Indiana(10/24/2024)
RR
Iowa(10/24/2024)
RR
Kansas(10/24/2024)
RR
Kentucky(10/24/2024)
RR
Louisiana(10/24/2024)
RR
Maine(10/24/2024)
RR
Maryland(10/24/2024)
RR
Massachusetts(10/24/2024)
RR
Michigan(10/24/2024)
RR
Minnesota(10/24/2024)
RR
Mississippi(10/24/2024)
RR
Missouri(10/24/2024)
RR
Montana(10/24/2024)
RR
Nebraska(10/24/2024)
RR
Nevada(10/24/2024)
RR
New Hampshire(10/24/2024)
RR
New Jersey(10/24/2024)
RR
New Mexico(10/24/2024)
RR
New York(10/24/2024)
RR
North Carolina(10/24/2024)
RR
North Dakota(10/24/2024)
RR
Ohio(10/25/2024)
RR
Oklahoma(10/24/2024)
RR
Oregon(10/24/2024)
RR
Pennsylvania(10/24/2024)
RR
Puerto Rico(10/24/2024)
RR
Rhode Island(10/24/2024)
RR
South Carolina(4/9/2024)
RR
South Dakota(10/24/2024)
RR
Tennessee(10/24/2024)
RR
Texas(10/24/2024)
RR
Utah(10/24/2024)
RR
Vermont(10/24/2024)
RR
Virgin Islands(10/24/2024)
RR
Virginia(10/24/2024)
RR
Washington(10/24/2024)
RR
West Virginia(10/24/2024)
RR
Wisconsin(10/24/2024)
RR
Wyoming(10/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
