Nicole Stoufflet
Financial Examiner at LPL Financial | New Orleans, Louisiana, United States
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Nicole Stoufflet serves as a Senior Regional Supervisory Principal at LPL Financial, where she plays a pivotal role in ensuring compliance and operational integrity across the firm’s extensive network of branch offices. With a focus on conducting thorough on-site inspections and examinations, Nicole leverages her expertise to uphold the highest standards of regulatory compliance and risk management. Her role is crucial in supporting LPL Financial’s mission to empower over 16,000 financial advisors and approximately 700 financial institutions, ensuring that they operate within the framework of industry regulations while delivering exceptional service to their clients.
Nicole’s background is fortified by her proficiency in strategic financial planning, compliance, and retirement planning, all of which are essential in navigating the complexities of the financial services landscape. Her skills in conducting comprehensive audits and evaluations enable her to identify potential areas of improvement, thereby enhancing the overall productivity and effectiveness of branch operations. Additionally, her knowledge of variable annuities and investments allows her to provide valuable insights that contribute to the development of robust marketing strategies tailored to the unique needs of financial advisors.
As a Registered Productivity Consultant, Nicole is not only focused on compliance but also on fostering a culture of continuous improvement and leadership within her teams. Her commitment to professional development and adherence to best practices positions her as a trusted resource within LPL Financial, further solidifying the firm’s reputation as a leader in the independent broker-dealer space. Recognized by Forbes Magazine as one of America’s Best Largest Employers in 2024, LPL Financial thrives under the guidance of professionals like Nicole, who are dedicated to excellence and innovation in financial services.
Financial Examiner at LPL Financial in October 2013 to Present
Sr. Regional Supervisory Principal at LPL Financial in October 2019 to Present
Independent Marketing Consultant at Self-Employed in November 2012 to October 2013
Sr. Controls Analyst (Centralized Trade Surveillance); Agency Marketing Director at MetLife in January 2010 to November 2012
Associate Director of Network Office Supervision (OSJ Delegate) at Northwestern Mutual in March 2007 to September 2009
Associate Portfolio Manager at FSC Securities Corporation in June 2006 to February 2007
Registered Associate (Series 7 Licensed Admin) at Stifel Financial Corp. in June 2005 to June 2006
Registered Productivity Consultant, Sales and Marketing at FranklinCovey in August 2004 to May 2006
Registered Client Service Associate (Series 7 Licensed Admin) at Legg Mason (now Morgan Stanley Smith Barney) in August 2000 to September 2004
New Business Analyst / Marketing at Union Central Life in January 1998 to January 2000
New Business Analyst at The Acacia Group LLC in January 1996 to January 1998
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Series 7
Series 66
Series 9/10
Life, Accident and Variable Contract Producer
Marketing Strategy
Training
Securities
Strategic Financial Planning
Registered Productivity Consultant
Lead Generation
Variable Annuities
Investments
Investment Advisory
Marketing
Compliance
Portfolio Management
Retirement Planning
Leadership
Financial Planning
FINRA
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Discover more about LPL FinancialWhat is Nicole Stoufflet email address?
Email Nicole Stoufflet at [email protected]. This email is the most updated Nicole Stoufflet email found in 2026.
What is Nicole Stoufflet phone number?
Nicole Stoufflet phone number is +15044703080.
How to contact Nicole Stoufflet?
To contact Nicole Stoufflet send an email to [email protected]. If you want to call Nicole Stoufflet try calling on +15044703080.
What company does Nicole Stoufflet work for?
Nicole Stoufflet works for LPL Financial
What is Nicole Stoufflet's role at LPL Financial?
Nicole Stoufflet is Financial Examiner
What industry does Nicole Stoufflet work in?
Nicole Stoufflet works in the Financial Services industry.
Nicole Stoufflet Email Addresses
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