Nicole L Mann

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 09/2016
  Citizens Securities Inc
  Albany, NY
• 09/2016 → 09/2017
  Citizens Securities, Inc.
  Albany, NY
• 09/2017 → 07/2020
  Citizens Securities, Inc.
  Albany, NY
• 07/2020 → 01/2026
  Broadview Federal Cu
  Albany, NY
• 07/2020 → Present
  Lpl Financial Llc
  Albany, NY
• 01/2026 → Present
  Hudson Valley Credit Union
  Latham, NY

Previous Registrations

• 2018-01-22 → 2020-07-10
  Citizens Securities, Inc.
  Albany, NY
  Albany, NY
  Dedham, MA
  Guilderland, NY
  Loudonville, NY
  Albany, NY
  Albany, NY
  Clifton Park, NY
  Clifton Park, NY
  Albany, NY
  Guilderland, NY
  Loudonville, NY
  Niskayuna, NY
  Albany, NY
  Albany, NY
  Albany, NY
  Loudonville, NY
  Niskayuna, NY
  Amsterdam, NY
  Albany, NY
  Albany, NY
  Johnstown, NY
  Schenectady, NY
  Guilderland, NY
  Schenectady, NY

Other Businesses

1) 02/28/2023 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Broadview Wealth Management - Investment Related - At Reported Business Location(s) - Start Date - 03/31/2023 2) 01/30/2026 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wealth Management at Hudson Valley Credit Union - Investment Related - At Reported Business Location(s) - Start Date - 12/22/2025 - 173 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2017-09-25
• S63 Uniform Securities Agent State Law Examination
  2015-07-20