Nicole Joy Norris

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

• 02/2024 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 02/2011 → 04/2017
  Saint Elizabeth Regional Medical Center
  Lincoln, NE
• 04/2017 → 03/2023
  Wax Buffalo
  Lincoln, NE
• 03/2023 → 01/2024
  Pink Gorilla Events
  Lincoln, NE
• 06/2025 → Present
  Lpl Financial Llc
  Omaha, NE

Previous Registrations

• 2024-05-31 → 2025-06-05
  Western International Securities, Inc.
  Omaha, NE

Other Businesses

1. 06/05/2025- Asset Strategies- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 09/02/2024- 160 Hours Per Month- 160 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2024-05-29