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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

NICHOLAS STEVEN SHANE

Advisor at LINCOLN INVESTMENT

Crystal Lake, IL | Kentwood, MI | LOMBARD, IL

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Search this name across graphsid dfx:ria:3b48700a-dc00-6a9b-57d2-e2631937f80d

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2007 to Sep 18, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LINCOLN INVESTMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 19, 2007
First registration: Nov 21, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5377643

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LINCOLN INVESTMENT	Independent wealth	Sep 14, 2026	n/a	yes	Crystal Lake, IL\|Kentwood, MI\|LOMBARD, IL	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 16, 2015	n/a	yes	NOVI, MI\|KENTWOOD, MI	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 16, 2015	n/a	yes	NOVI, MI\|KENTWOOD, MI	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 16, 2015	Sep 17, 2026	no	NOVI, MI\|GRAND RAPIDS, MI\|KENTWOOD, MI	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Apr 16, 2014	Dec 15, 2015	no	PALM BEACH, FL\|Palm Beach, FL\|NEW YORK, NY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Sep 18, 2008	Apr 30, 2014	no	WEST PALM BEACH, FL	Previous registration
LEHMAN BROTHERS INC.	n/a	Nov 21, 2007	Sep 24, 2008	no	PALM BEACH, FL\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VALIC FINANCIAL ADVISORS, INC.	LINCOLN INVESTMENT	Sep 17, 2026	Sep 14, 2026	-3	Firm change	Ibd to RIA
BARCLAYS CAPITAL INC.	VALIC FINANCIAL ADVISORS, INC.	Dec 15, 2015	Dec 16, 2015	1	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	BARCLAYS CAPITAL INC.	Apr 30, 2014	Apr 16, 2014	-14	Firm change	Other
LEHMAN BROTHERS INC.	CREDIT SUISSE SECURITIES (USA) LLC	Sep 24, 2008	Sep 18, 2008	-6	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42803:519:MI:2026-09-17	Sep 17, 2026	Sep 14, 2026	KENTWOOD, MI	Firm change

Relationships

Registered with (4)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: current employment
Dec 16, 2015 to presentfactForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Apr 16, 2014 to Dec 15, 2015factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Sep 18, 2008 to Apr 30, 2014factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Nov 21, 2007 to Sep 24, 2008factForm ADV

Dated events

Occurred
Sep 17, 2026
Advisor changed firm
Nicholas Steven Shane left Valic Financial Advisors, Inc. for Lincoln Investment (registered 2026-09-14)
Form ADVobserved 2 days ago