Nicole R. Wagner

ASSET ONE WEALTH MANAGEMENT

Findlay, OH 45840

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CRD#: 7223326

Professional summary

Nicole Renee Wagner is a registered financial advisor currently at ASSET ONE WEALTH MANAGEMENT, LLC located in Findlay, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicole has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Nicole Renee Wagner'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

December 26, 2025 - Present

ASSET ONE WEALTH MANAGEMENT, LLC

Office #1: 520 South Main St, Suite A, Findlay, OH 45840

RIA

CRD#: 336350

Findlay, OH

Current

November 14, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 520 South Main St Suite A, Findlay, OH 45840

CRD#: 35747

ALBANY, NY

Past

April 14, 2024 - November 18, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FINDLAY, OH

Past

June 9, 2021 - November 18, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Findlay, OH

Past

November 30, 2020 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Findlay, OH

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.

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

Ohio
(11/14/2025)

IAR

Ohio
(12/26/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/30/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/9/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ASSET ONE WEALTH MANAGEMENT, LLC

AK WEALTH MANAGEMENT | ASSET ONE WEALTH MANAGEMENT, LLC

CRD#: 336350 / SEC#: 801-132828

RIA

Registered Investment Advisory firm - (6/6/2025 120-Day Approval)

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Contact information

Main Address

11201 Se 8th Street, Suite 105, Bellevue, WA 98004

Mailing Address

Phone number

(425) 504-830

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts	1,754
AUM (Assets Under Management)	$ 435,591,345

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicole R. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Renee Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2024

Series 63

Date: 10/3/2023

Series 6TO

Date: 11/30/2020

SIE

Date: 3/9/2020

FINRA

Current Firm

ASSET ONE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET ONE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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