Nikole L. Middleton

VESTIA PERSONAL WEALTH ADVISORS | Financial Advisor

Fort Wayne, IN 46804

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CRD#: 6889230

Professional summary

Nikole L Middleton, who also goes by Nikole Lee-ann Esquibel, Nikole Lee-ann Fitch, Nikole Lee-ann Middleton, Nikole Lee-ann Miller, Nikole Lee-ann Patton, is a registered financial advisor currently at VESTIA PERSONAL WEALTH ADVISORS located in Fort Wayne, Indiana.

Nikole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nikole has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

What are your service offerings?

Investments

Retirement Planning Strategies

Tax Planning Strategies

Are you a "fiduciary"?

Yes

Aliases

Nikole Lee-Ann Esquibel | Nikole Lee-Ann Fitch | Nikole Lee-Ann Middleton | Nikole Lee-Ann Miller | Nikole Lee-Ann Patton

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.

Outside Employment; Outside Employment; AR Group LLC; Other; 5750 Coventry Lane STE 110, , Fort Wayne, IN, 46804; Investment-Related; 05/05/2021; 60 during trading hours; 60 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nikole L Middleton'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

October 14, 2024 - Present

VESTIA PERSONAL WEALTH ADVISORS

Office #1: 9121 Illinois Road Suite 51, Fort Wayne, IN 46804

RIA

CRD#: 290565

Fort Wayne, IN

Past

October 12, 2020 - October 4, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FORT WAYNE, IN

Past

March 25, 2019 - October 4, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FORT WAYNE, IN

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".

VESTIA PERSONAL WEALTH ADVISORS

CRD#: 290565 / SEC#: 801-112175

RIA

Registered Investment Advisory firm - (12/13/2017 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

Indiana
(10/14/2024)

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

State Security Law Exam

IAR

Series 66

Date: 9/16/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/14/2019

Securities Industry Essentials Examination

Current Firm

VESTIA PERSONAL WEALTH ADVISORS

CRD#: 290565 / SEC#: 801-112175

RIA

Registered Investment Advisory firm - (12/13/2017 Approved)

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Contact information

Main Address

9121 Illinois Road Suite 51, Fort Wayne, IN 46804

Mailing Address

Phone number

(877) 669-1126

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTIA PERSONAL WEALTH ADVISORS FORM ADV PART 2A - 20190530 (3/28/2025)

VESTIA RETIREMENT CONSULTANTS FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,829
AUM (Assets Under Management)	$ 827,349,846

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
10/30/2024	Cover Page	Report
02/28/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Nikole L. Middleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nikole L Middleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VESTIA PERSONAL WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2019

Series 7TO

Date: 3/25/2019

SIE

Date: 1/14/2019

Current Firm

VESTIA PERSONAL WEALTH ADVISORS

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VESTIA PERSONAL WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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