Chief Compliance Officer · Financial Perspectives
Nicole L. Wilken
CRD 3208617 · Named on Form ADV at one SEC-registered adviser
At a glance
Financial Perspectives, an SEC-registered wealth manager based in Minneapolis, MN with $1.2 billion in regulatory assets, lists Nicole L. Wilken on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Financial PerspectivesChief Compliance OfficerWealth manager · Minneapolis, MN · $1.2B in regulatory assets
AtlasMembers
Nicole’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2013 (12 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Nicole’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Daniel J. DuganChief Executive Officer, Financial Perspectives
- David W. DuganVice President/secretary/treasurer, Financial Perspectives
- Luke M. DuganPresident & Chief Operating Officer, Financial Perspectives
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Nicole’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.