Nicole Spitzley has been Chief Compliance Officer and Chief Opperations Officer of Rehmann Capital Advisory Group since January 2014, is a control person of the firm and directly owns under 5% of it. Nicole Spitzley holds a BS in business management from Northwood University.
Rehmann Capital Advisory Group, LLC is a Lansing, MI firm with $5.27B under management, 2,549 clients and 39 advisers across 14 offices, as of its September 2026 filing.
Nicole Spitzley is Chief Compliance Officer, Wealth Management at Rehmann, based in Lansing, Michigan. She oversees Rehmann Wealth Management's compliance program, ensuring effective implementation of its policies and procedures and adherence to applicable rules and regulations. She joined Rehmann in 2008 and specializes in regulatory compliance for investment advisors and broker-dealers.
Nicole Spitzley’s longest registration is the current one, 13 years at Rehmann Capital Advisory Group since 2013.
- Royal Alliance Associates, Inc.– · under a yearLansing, MI · Adviser representative · Firm CRD 23131
Investment adviser representative registrations
Nicole Spitzley is registered as an investment adviser representative in Michigan, since January 2013.
- MichiganSince 9 January 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 28 July 2015 |
| Series 66 | Uniform Combined State Law Examination | 28 November 2012 |
| Series 24 | General Securities Principal Examination | 21 May 2011 |
| Series 7 | General Securities Representative Examination | 18 February 2010 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Nicole Anne Spitzley
- CRD
- 5526351
- Firm
- Rehmann Capital Advisory Group · CRD 123047
- Role
- Chief Compliance Officer; Chief Opperations Officer
- Office
- 4086 LEGACY PARKWAY, Lansing, MI 48911-4261
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 2010
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- rehmann.com
Where does Nicole Spitzley work?
Nicole Spitzley has been Chief Compliance Officer; Chief Opperations Officer of Rehmann Capital Advisory Group, LLC since January 2014, and is a control person of the firm.
Is Nicole Spitzley a financial advisor?
Yes. Nicole Spitzley has a current investment-adviser registration in Michigan, through Rehmann Capital Advisory Group since January 2013.
How many years of experience does Nicole Spitzley have?
Nicole Spitzley has 16 years in the financial industry, since February 2010, across 2 adviser firms.
What exams has Nicole Spitzley passed?
Nicole Spitzley has passed 6 licensing exams: the Series 7, Series 24, Series 66, Series 28, Series 14 and Series 99TO. The earliest, the Series 7, was passed in February 2010. FINRA credited Nicole Spitzley with the SIE, which began in October 2018.
Where is Nicole Spitzley based?
Nicole Spitzley’s registered office is in Lansing, MI.
Is Nicole Spitzley registered with FINRA?
Yes. Nicole Spitzley has a current broker registration, under CRD 5526351.
Source: FINRA BrokerCheck
How can I verify Nicole Spitzley’s record?
Search CRD 5526351 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicole Spitzley’s full registration record.
