Nicole A. Mitela

DIPAOLO FINANCIAL GROUP

Lutz, FL 33558

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CRD#: 7172743

Professional summary

Nicole Ann Mitela, who also goes by Nicole Mitela, is a registered financial advisor currently at DIPAOLO FINANCIAL GROUP, INC. located in Lutz, Florida.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Nicole has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole Mitela

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) - RIA

Click below to view Nicole Ann Mitela'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

November 24, 2020 - Present

DIPAOLO FINANCIAL GROUP, INC.

Office #1: 4635 Van Dyke Road, Lutz, FL 33558

RIA

CRD#: 309637

Lutz, FL

Past

August 3, 2020 - August 17, 2020

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 17, 2020 - August 17, 2020

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

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".

DIPAOLO FINANCIAL GROUP, INC.

CRD#: 309637 / SEC#: 801-132771

RIA

Registered Investment Advisory firm - (5/13/2025 Approved)

Florida

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 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.

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

Florida
(11/30/2020)

IAR

Texas
(11/24/2020)

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: 7/31/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/17/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/23/2019

Securities Industry Essentials Examination

Current Firm

DIPAOLO FINANCIAL GROUP, INC.

CRD#: 309637 / SEC#: 801-132771

RIA

Registered Investment Advisory firm - (5/13/2025 Approved)

Florida

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

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Contact information

Main Address

4635 Van Dyke Road, Lutz, FL 33558

Mailing Address

Phone number

(813) 475-3130

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- DIPAOLO FINANCIAL GROUP, INC. (9/24/2025)

Regulatory assets under management

Total Number of Accounts	1,059
AUM (Assets Under Management)	$ 125,875,910

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.

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Nicole A. Mitela

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ann Mitela's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIPAOLO FINANCIAL GROUP, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

DIPAOLO FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2020

Series 7TO

Date: 6/17/2020

SIE

Date: 12/23/2019

Current Firm

DIPAOLO FINANCIAL GROUP, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIPAOLO FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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