Nicolle L. Yates

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CRD#: 6990521

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.

Nicolle Lachelle Yates, CFP®, who also goes by Nikki Yates, was a registered financial professional .

Nicolle is a previously registered financial professional and started their career in finance in 2018. Nicolle had worked at 5 firms and has passed the Series 65 exam.

At a Glance

Min. Asset: Under $50K

Aliases

Nikki Yates

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®

CFP^®

RIA

CRD#: 168483

LAKEWAY, 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".

AUSTIN WEALTH MANAGEMENT, LLC

AUSTIN WEALTH MANAGEMENT, LLC | JMH WEALTH MANAGEMENT, LLC

CRD#: 172793 / SEC#: 801-117954

RIA

Registered Investment Advisory firm - (1/13/2020 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/15/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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 65

Date: 9/24/2018

Uniform Investment Adviser Law Examination

Current Firm

AUSTIN WEALTH MANAGEMENT, LLC

AUSTIN WEALTH MANAGEMENT, LLC | JMH WEALTH MANAGEMENT, LLC

CRD#: 172793 / SEC#: 801-117954

RIA

Registered Investment Advisory firm - (1/13/2020 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/15/2020 Terminated)

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Contact information

Main Address

5209 Burnet Road Ste. 210, Austin, TX 78756

Mailing Address

Phone number

(512) 467-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWM FORM ADV PART 2A (10/23/2025)

Regulatory assets under management

Total Number of Accounts	2,671
AUM (Assets Under Management)	$ 766,414,063

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

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Nicolle L. Yates

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AUSTIN WEALTH MANAGEMENT, LLC

CREATIVE PLANNING

ML&R WEALTH MANAGEMENT LLC

PIONEER WEALTH MANAGEMENT GROUP

HAMILTON FINANCIAL PLANNING LLC

Primary Firm SEC Registration

AUSTIN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2018

Current Firm

AUSTIN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUSTIN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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