Tanya Nichols has been Managing Member / CCO of Align Financial since August 2020, is a control person of the firm and directly owns between 25% and 50% of it.
Align Financial, LLC is a Hermantown, MN firm with $434M under management, 188 clients and 5 advisers across 6 offices, as of its September 2026 filing.
Tanya Nichols is Co-founder and Retirement Planner at Retire Agile. As co-founder and managing partner, she leads the team with Roger Whitney. One of her first clients hired her more than 20 years ago.
Tanya Nichols’ longest registration was 6 years at Raymond James Financial Services Advisors, Inc (2014–2021). Before joining Align Financial in 2021, Tanya Nichols was registered through Raymond James Financial Services Advisors, Inc and Wells Fargo Advisors, LLC.
- Raymond James Financial Services Advisors, Inc– · 6 yearsHermantown, MN · Adviser representative · Firm CRD 149018
- Wells Fargo Advisors, LLC– · 3 yearsDuluth, MN · Adviser representative · Firm CRD 19616
- Wells Fargo Investments, LLC– · under a yearDuluth, MN · Adviser representative · Firm CRD 10582
- U.S. Bancorp Investments, Inc.– · 3 yearsDuluth, MN · Adviser representative · Firm CRD 17868
Professional designations
Listed by Align Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Tanya Nichols is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from February 2021; the most recent is Texas, in May 2022.
- MinnesotaSince 1 February 2021
- TexasResidentSince 6 May 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 16 July 2016 |
| Series 66 | Uniform Combined State Law Examination | 25 April 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 2003 |
| Series 7 | General Securities Representative Examination | 9 December 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tanya Lynn Nichols
- CRD
- 4005676
- Firm
- Align Financial · CRD 309238
- Role
- Managing Member / CCO
- Office
- 4960 MILLER TRUNK HWY, #600, Hermantown, MN 55811
- Registration
- Investment adviser registration
- In the industry since
- December 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- retireagile.com
Where does Tanya Nichols work?
Tanya Nichols has been Managing Member / CCO of Align Financial, LLC since August 2020, and is a control person of the firm.
Is Tanya Nichols a financial advisor?
Yes. Tanya Nichols has a current investment-adviser registration in Minnesota and Texas, through Align Financial since February 2021.
How many years of experience does Tanya Nichols have?
Tanya Nichols has 23 years in the financial industry, since December 2002, across 5 adviser firms.
What exams has Tanya Nichols passed?
Tanya Nichols has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 24. The earliest, the Series 7, was passed in December 2002. FINRA credited Tanya Nichols with the SIE, which began in October 2018.
Where did Tanya Nichols work before Align Financial?
Before Align Financial, Tanya Nichols was registered through Wells Fargo Advisors, LLC, January 2011 to September 2014; Wells Fargo Investments, LLC, December 2010 to January 2011; U.S. Bancorp Investments, Inc., December 2007 to December 2010.
Where is Tanya Nichols based?
Tanya Nichols’ registered office is in Hermantown, MN.
Is Tanya Nichols registered with FINRA?
No. Tanya Nichols has no current broker registration.
Is Tanya Nichols a CFP?
Align Financial lists Tanya Nichols with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Tanya Nichols’ record?
Search CRD 4005676 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tanya Nichols’ full registration record.