Nicholas Nmn Dalmaso
Professional Summary
Nicholas Nmn Dalmaso, who also goes by Nicholas Dalmaso, is a registered financial advisor currently at SOUND CAPITAL SOLUTIONS LLC located in Naples, Florida. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Nicholas has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Dalmaso
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SOUND CAPITAL SOLUTIONS LLC
Contact Information
Main Address
Naples, FLPhone Number
(630) 853-3300# of Employees
5SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2AUM (Assets Under Management)
$305,731,458Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SOUND CAPITAL SOLUTIONS LLC
State Registrations and Notice Filings
(1/11/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Nmn Dalmaso's CRS (Customer Relationship Summary).
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