Nicholas N. Dalmaso

SOUND CAPITAL SOLUTIONS LLC

Wheaton, IL

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CRD#: 2246955

Professional summary

Nicholas Nmn Dalmaso, who also goes by Nicholas Dalmaso, is a registered financial advisor currently at SOUND CAPITAL SOLUTIONS LLC located in Wheaton, Illinois.

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Dalmaso

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.

Consultant and Equity holder of M1 Holdings, Inc, parent of M1 FINANCE LLC, A REGISTERED BROKER/DEALER, AND M1 ADVISORY SERVICES LLC, ITS AFFILIATED INVESTMENT ADVISER. Independent Chair of the DESTRA Family of Funds Board and Independent Chair of the Milliman Variable Investment Trust.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Nmn Dalmaso's 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

January 11, 2024 - Present

SOUND CAPITAL SOLUTIONS LLC

RIA

CRD#: 311034

Wheaton, IL

Past

June 2, 2021 - February 3, 2025

SOUND CAPITAL DISTRIBUTORS LLC

CRD#: 310661

Wheaton, IL

Past

December 22, 2020 - March 1, 2022

M1 FINANCE

RIA

CRD#: 249787

CHICAGO, IL

Past

December 22, 2020 - March 1, 2022

M1 FINANCE LLC

CRD#: 281242

CHICAGO, IL

Past

October 23, 2020 - September 15, 2023

SOUND CAPITAL SOLUTIONS LLC

RIA

CRD#: 311034

WHEATON, IL

Past

March 25, 2016 - December 31, 2019

M1 FINANCE LLC

CRD#: 281242

Chicago, IL

Past

October 2, 2015 - December 31, 2019

M1 FINANCE

RIA

CRD#: 249787

CHICAGO, IL

Past

March 16, 2011 - August 19, 2015

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

Chicago, IL

Past

March 10, 2010 - January 4, 2011

DESTRA CAPITAL ADVISORS LLC

RIA

CRD#: 148574

LISLE, IL

Past

October 22, 2003 - June 12, 2008

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA

CRD#: 39805

LISLE, IL

Past

January 9, 2002 - June 12, 2008

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

LISLE, IL

Past

November 9, 1999 - December 31, 2001

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

September 16, 1992 - July 13, 1999

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

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".

SOUND CAPITAL SOLUTIONS LLC

CRD#: 311034 / SEC#: 801-129056

RIA

Registered Investment Advisory firm - (1/5/2024 Approved)

Illinois

Registered Investment Advisory firm - (9/15/2023 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

Illinois
(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

State Security Law Exam

IAR

Series 65

Date: 10/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/2/2023

Financial and Operations Principal Examination

Current Firm

SOUND CAPITAL SOLUTIONS LLC

CRD#: 311034 / SEC#: 801-129056

RIA

Registered Investment Advisory firm - (1/5/2024 Approved)

Illinois

Registered Investment Advisory firm - (9/15/2023 Terminated)

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Contact information

Main Address

Naples, FL

Mailing Address

Phone number

(630) 853-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 224,206,038

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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Firm Stability Insights

Nicholas N. Dalmaso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Nmn Dalmaso's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND CAPITAL DISTRIBUTORS LLC

M1 FINANCE

M1 FINANCE LLC

SOUND CAPITAL SOLUTIONS LLC

M1 FINANCE LLC

M1 FINANCE

DESTRA CAPITAL INVESTMENTS LLC

DESTRA CAPITAL ADVISORS LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

NUVEEN SECURITIES, LLC

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

SOUND CAPITAL SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2015

Series 63

Date: 3/22/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1993

Series 6

Date: 9/14/1992

Series 14

Date: 1/2/2023

Series 24

Date: 1/2/2023

Series 27

Date: 1/2/2023

Current Firm

SOUND CAPITAL SOLUTIONS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND CAPITAL SOLUTIONS LLC

TRUST BUT VERIFY

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