Mark A. Nicolet
ROBERT W. BAIRD & CO.
Denver, CO 80206
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CRD#: 6228295
Professional summary
Mark Alan Nicolet, CFP®, who also goes by Mark Nicolet, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Denver, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Education Planning
Tax Planning
Life Transitions
Comprehensive Financial Planni...
Insurance Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Mark Nicolet
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. 6/11/2021 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/1/2021 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/2015 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Trilogy Capital, Inc, an independent investment advisor firm. I started this business activity in 11/2015. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 08/15/2022- Trilogy Financial- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Start Date- 08/21/2013- 10 Hours Per Month/ 10 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Nicolet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Nicolet'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: 2017
Experience
Current
June 24, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Current
June 24, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Past
June 11, 2021 - July 1, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
November 29, 2017 - April 17, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
DENVER, CO
Past
November 29, 2017 - June 28, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
November 23, 2015 - June 24, 2025
TRILOGY CAPITAL, INC.
RIA
CRD#: 281597
Denver, CO
Past
January 3, 2014 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
DENVER, CO
Past
August 2, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, 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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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(6/25/2025)
RR
Arizona(8/11/2025)
RR
Arkansas(6/26/2025)
RR
California(8/4/2025)
RR
Colorado(6/24/2025)
IAR
Colorado(6/24/2025)
RR
Florida(6/24/2025)
RR
Georgia(6/27/2025)
RR
Indiana(6/24/2025)
RR
Iowa(7/11/2025)
RR
Kentucky(7/7/2025)
RR
Maine(6/24/2025)
RR
Massachusetts(6/24/2025)
RR
Michigan(6/24/2025)
RR
Minnesota(6/24/2025)
RR
Missouri(7/11/2025)
RR
Nebraska(7/7/2025)
RR
Nevada(7/7/2025)
RR
New Hampshire(6/24/2025)
RR
New Mexico(7/29/2025)
RR
New York(10/7/2025)
RR
North Carolina(7/7/2025)
RR
Ohio(8/5/2025)
RR
Oregon(6/24/2025)
RR
South Carolina(6/24/2025)
RR
Tennessee(6/24/2025)
RR
Texas(6/24/2025)
IAR
Texas(6/24/2025)
RR
West Virginia(6/24/2025)
RR
Wisconsin(7/3/2025)
RR
Wyoming(10/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Denver, CO 80206TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
