Brooks R. Nichols

LIFEPLAN GROUP

Raleigh, NC 27613

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CRD#: 7599107

Professional summary

Brooks Russell Nichols, who also goes by Brooks Nichols, is a registered financial advisor currently at LIFEPLAN GROUP located in Raleigh, North Carolina.

Brooks is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Brooks has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brooks Nichols

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 Brooks Russell Nichols'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

January 29, 2026 - Present

LIFEPLAN GROUP

Office #1: 7201 Creedmoor Rd. Suite 147, Raleigh, NC 27613

RIA

CRD#: 144157

Raleigh, NC

Past

March 31, 2025 - August 15, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DURHAM, NC

Past

May 25, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

DURHAM, NC

Past

December 1, 2022 - August 15, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

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".

LIFEPLAN GROUP

CRD#: 144157 / SEC#: 801-122570

RIA

Registered Investment Advisory firm - (11/16/2021 Approved)

Nebraska

Registered Investment Advisory firm - (10/26/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (12/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2021 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

North Carolina
(1/29/2026)

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: 5/22/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/10/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/1/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/21/2022

Securities Industry Essentials Examination

Current Firm

LIFEPLAN GROUP

CRD#: 144157 / SEC#: 801-122570

RIA

Registered Investment Advisory firm - (11/16/2021 Approved)

Nebraska

Registered Investment Advisory firm - (10/26/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (12/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2021 Terminated)

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Contact information

Main Address

7201 Creedmoor Rd. Suite 147, Raleigh, NC 27613

Mailing Address

Phone number

(919) 858-6119

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIFEPLAN GROUP ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	913
AUM (Assets Under Management)	$ 238,613,582

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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Advisor Monitoring

Firm Stability Insights

Brooks R. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Russell Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

LIFEPLAN GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2023

Series 63

Date: 12/10/2022

Series 7TO

Date: 12/1/2022

SIE

Date: 10/21/2022

Current Firm

LIFEPLAN GROUP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIFEPLAN GROUP

TRUST BUT VERIFY

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