Nicole Tietel has been President, Chief Compliance Officer and Integrative Wealth Advisor of Winter & Associates since January 2021, is a control person of the firm and directly owns 75% or more of it. Nicole Tietel holds a Bachelor of Science from Babson College.
Winter & Associates, Inc. is a St. Paul, MN firm with $180M under management, 208 clients and 4 advisers in one office, as of its August 2026 filing.
Nicole Winter Tietel is President and Chief Compliance Officer of Winter & Associates, Inc., based in St. Paul, MN. She is the fourth-generation leader of the firm, which was founded in 1908, and has spent more than 31 years helping individuals, families and business owners navigate financial decisions. She is a former president of the St. Paul Chapter of the National Association of Insurance and Financial Advisors.
Nicole Tietel’s longest registration was 6 years at Cri Securities, LLC (2014–2021). Before joining Winter & Associates in 2021, Nicole Tietel was registered through Cri Securities, LLC and Securian Financial Services, Inc.
- Winter & Associates, Inc.Current– present · 5 yearsSt. Paul, MN · Adviser representative · Firm CRD 310349
- Cri Securities, LLC– · 6 yearsSt Paul, MN · Adviser representative · Firm CRD 22589
- Securian Financial Services, Inc.– · 6 yearsSt Paul, MN · Adviser representative · Firm CRD 15296
Professional designations
Listed by Winter & Associates
- LUTCF
Investment adviser representative registrations
Nicole Tietel is registered as an investment adviser representative in 2 states. The first approvals date from January 2021; the most recent is Texas, in May 2025.
- MinnesotaSince 4 January 2021
- TexasSince 13 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 18 May 1999 |
| Series 24 | General Securities Principal Examination | 30 June 1998 |
| Series 7 | General Securities Representative Examination | 24 March 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 July 1995 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 July 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Nicole Winter Tietel
- CRD
- 2640324
- Firm
- Winter & Associates · CRD 310349
- Role
- President, Chief Compliance Officer and Integrative Wealth Advisor
- Office
- 964 GRAND AVENUE, St. Paul, MN 55105
- Registration
- Investment adviser registration
- In the industry since
- July 1995
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- winterassoc.com
Where does Nicole Tietel work?
Nicole Tietel has been President, Chief Compliance Officer and Integrative Wealth Advisor of Winter & Associates, Inc. since January 2021, and is a control person of the firm.
Is Nicole Tietel a financial advisor?
Yes. Nicole Tietel has a current investment-adviser registration in Minnesota and Texas, through Winter & Associates since January 2021.
How many years of experience does Nicole Tietel have?
Nicole Tietel has 31 years in the financial industry, since July 1995, across 3 adviser firms.
What exams has Nicole Tietel passed?
Nicole Tietel has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 65. The earliest, the Series 6, was passed in July 1995. FINRA credited Nicole Tietel with the SIE, which began in October 2018.
Where is Nicole Tietel based?
Nicole Tietel’s registered office is in St. Paul, MN.
Is Nicole Tietel registered with FINRA?
No. Nicole Tietel has no current broker registration.
How can I verify Nicole Tietel’s record?
Search CRD 2640324 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicole Tietel’s full registration record.
