Tanya Nichols (CRD# 4005676) is an Investment Advisor Representative working at Align Financial, LLC in Hermantown, MN and has over 21 years of experience in the finance industry. Tanya Nichols has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5369842
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 820126
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 1283578
Split Rock Private Trading And Wealth Management LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Align Financial, LLC | Duluth, MN | Apr 2017 - Current | 7 |
| Raymond James Financial Services | Duluth, MN | Sep 2014 - Feb 2021 | 6 |
| Raymond James Financial Services Advisors Inc. | Duluth, MN | Sep 2014 - Feb 2021 | 6 |
| Ascential Wealth Advisors | Duluth, MN | Sep 2014 - Apr 2017 | 2 |
| Wells Fargo Advisors LLC | Duluth, MN | Jan 2011 - Sep 2014 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 2003 |
| S66 | NASAA Uniform Combined State Law Examination | Apr 2006 |
- MN
- TX
-
Total Assets Under Management88MILLIONS
-
Total Number of Accounts272ACCOUNTS
-
Average Account Value$323,529
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
MN, TX
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