Steven R. Nichols

WARNKE/NICHOLS LTD.

DELAFIELD, WI 53018

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CRD#: 2006460

Professional summary

Steven Ross Nichols, who also goes by Nick Nichols, Steve Nichols, is a registered financial advisor currently at WARNKE/NICHOLS LTD. located in Delafield, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Steven has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Nichols | Steve Nichols

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Ross Nichols's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 8, 2023 - Present

WARNKE/NICHOLS LTD.

Office #1: 440 Wells Street Suite 203, Delafield, WI 53018

RIA

CRD#: 112181

DELAFIELD, WI

Past

May 12, 1993 - February 25, 2014

WARNKE/NICHOLS LTD.

RIA

CRD#: 112181

HALES CORNERS, WI

Past

November 14, 1989 - May 17, 1993

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WARNKE/NICHOLS LTD.

MERIT INVESTMENT GROUP | WARNKE/NICHOLS LTD. | MERIT INVESTMENT GROUP, LTD.

CRD#: 112181 / SEC#: 801-79230

RIA

Registered Investment Advisory firm - (2/18/2014 Approved)

Wisconsin

Registered Investment Advisory firm - (2/25/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(6/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/13/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WARNKE/NICHOLS LTD.

MERIT INVESTMENT GROUP | WARNKE/NICHOLS LTD. | MERIT INVESTMENT GROUP, LTD.

CRD#: 112181 / SEC#: 801-79230

RIA

Registered Investment Advisory firm - (2/18/2014 Approved)

Wisconsin

Registered Investment Advisory firm - (2/25/2014 Terminated)

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Contact information

Main Address

440 Wells Street Suite 203, Delafield, WI 53018

Mailing Address

Phone number

(262) 303-4113

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (9/4/2025)

Regulatory assets under management

Total Number of Accounts	286
AUM (Assets Under Management)	$ 190,788,695

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven R. Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Ross Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

WARNKE/NICHOLS LTD.

WARNKE/NICHOLS LTD.

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

WARNKE/NICHOLS LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/1993

Series 63

Date: 11/27/1989

Series 6

Date: 11/13/1989

Current Firm

WARNKE/NICHOLS LTD.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WARNKE/NICHOLS LTD.

TRUST BUT VERIFY

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