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PN

Patrick M. Niehaus

Some features on this profile are disabled
CRD#: 6302548
PN

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.

Patrick Michael Niehaus was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2014. Patrick had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 17, 2020 - December 5, 2023

LINCOLN INVESTMENT

RIA
CRD#: 519
LOMBARD, IL
Past

November 17, 2020 - December 5, 2023

CAPITAL ANALYSTS

RIA
CRD#: 162200
Lombard, IL
Past

November 4, 2020 - December 5, 2023

LINCOLN INVESTMENT

BD
CRD#: 519
LOMBARD, IL
Past

January 16, 2020 - November 6, 2020

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DEERFIELD, IL
Past

June 29, 2016 - February 8, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
ORLAND PARK, IL
Past

June 16, 2016 - February 5, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ORLAND PARK, IL
Past

June 9, 2014 - August 20, 2015

EDWARD JONES

RIA
CRD#: 250
DALLAS, TX
Past

April 15, 2014 - August 20, 2015

EDWARD JONES

BD
CRD#: 250
DALLAS, TX

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
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH

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

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

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/8/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2014
General Securities Representative Examination

Current Firm

LINCOLN INVESTMENT
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH

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

RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
LINCOLN INVESTMENT CAPITAL HOLDINGS, LLCMEMBER/OWNER
ALEXANDER, DANIEL SEANEXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER4051341
BUETI, ANTHONY CHARLESSENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER5876104
BURA, KAREN DOUGHERTYVICE-PRESIDENT, CONTROLLER1666006
ESTES, JASON CHRISTOPHEREXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER7485210
FLAX, STEVEN NEILEXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER5655474
FORST, EDWARD SAMUEL JRELECTED MANAGER/CEO708024
LECKEY, KATHLEEN KINSLOWPRESIDENT, CHIEF OPERATING OFFICER2447809
MATTSON, MAUREEN ANNEXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER5952728
MCCARTHY, DIANE MULHERRINEXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER4923328
MEHROTRA, SHASHISENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER2640875
OBERLIES, SUSAN MARYSENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY3009149

Regulatory assets under management

Total Number of Accounts201,292
AUM (Assets Under Management)$ 18,904,482,714

Disclosures

Regulatory Event7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CRD#: 519

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