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RIA / WealthAdvisor10 years in industry

Nicole Kristine Szakos

Advisor at CWM, LLC

OMAHA, NE | Pittsburgh, PA

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Search this name across graphsid dfx:ria:420e6c8c-bcd7-1657-beb4-cb4ed7361717

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: May 11, 2020 to Sep 15, 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: CWM, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 9, 2020
First registration: May 11, 2020
Dual registered: no
Other names: Nicole Kristine French|Nicole Szakos
IAPD individual key: 7159838

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
CWM, LLC	Bd affiliated wealth	Jun 2, 2025	n/a	yes	Pittsburgh, PA\|OMAHA, NE	Current employment
ADVICE & PLANNING SERVICES LLC	Independent wealth	Aug 18, 2024	Mar 17, 2025	no	YOUNGWOOD, PA	Previous registration
CWM, LLC	Bd affiliated wealth	Feb 26, 2024	Jul 22, 2024	no	Pittsburgh, PA\|OMAHA, NE	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	May 11, 2020	Feb 27, 2024	no	Camp Hill, PA\|GREEENSBURG, PA	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
ADVICE & PLANNING SERVICES LLC	CWM, LLC	Mar 17, 2025	Jun 2, 2025	77	Firm change	RIA to ibd
CWM, LLC	ADVICE & PLANNING SERVICES LLC	Jul 22, 2024	Aug 18, 2024	27	Firm change	Ibd to RIA
THRIVENT INVESTMENT MANAGEMENT INC.	CWM, LLC	Feb 27, 2024	Feb 26, 2024	-1	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ CWM, LLCRegistered adviserregistration: previous registration
Feb 26, 2024 to Jul 22, 2024factForm ADV
→ ADVICE & PLANNING SERVICES LLCRegistered adviserregistration: previous registration
Aug 18, 2024 to Mar 17, 2025factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
May 11, 2020 to Feb 27, 2024factForm ADV

Dated events

Occurred
Mar 17, 2025
Advisor changed firm
Nicole Kristine Szakos left Advice & Planning Services Llc for Cwm, Llc (registered 2025-06-02)
Form ADVobserved 5 days ago
Occurred
Jul 22, 2024
Advisor changed firm
Nicole Kristine Szakos left Cwm, Llc for Advice & Planning Services Llc (registered 2024-08-18)
Form ADVobserved 5 days ago
Occurred
Feb 27, 2024
Advisor changed firm
Nicole Kristine Szakos left Thrivent Investment Management Inc. for Cwm, Llc (registered 2024-02-26)
Form ADVobserved 5 days ago