Nicholas F. Nauta
SHOTWELL RUTTER BAER
Lansing, MI 48917
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CRD#: 5062316
Professional summary
Nicholas Frank Nauta, CFP®, CLU® is a registered financial advisor currently at SHOTWELL RUTTER BAER INC located in Lansing, Michigan.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Nicholas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Nick has been practicing financial planning since moving to the Lansing area in 2006. After studying Financial Management and Economics at Northern Michigan University, Nick ventured into the financial planning industry. Having a young daughter and wife, Nick wanted to stay in Michigan. At the time he graduated, one of the few jobs available for a finance major was as a financial advisor.
Nick struggled through his first few years in the profession. He relates the struggle to his early memories of money living in Spring Lake, Michigan. One of the things he learned about money when he was growing up was the people who seemed to have the most of it, weren’t inherently happier than those who didn’t. When he started in the financial advising industry, the profession appeared to be all about making money, something he didn’t hold in high esteem.
Some years later, around the time his son was born, Nick finally started to figure out his place in the financial planning world. He was challenged to answer the question of why he did what he did. Thinking back on his early memories of money, he concluded he was in the financial planning profession to help people realize their life goals.
Nick enjoys giving back to the community as well as his profession. He is currently the board president of the Davies Project. He also serves on the board of Loave's and Fishes homeless shelter, Delta-side business association, Kiwanis of Delta Township, and is an ambassador for the Lansing Regional Chamber. He is a member of the National Association of Personal Financial Advisors and the Financial Planning Association.
Question & Answer
What are your service offerings?
Investment Planning
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Life Transitions
Do you have an area of expertise or specialization?
Divorce Planning
Financial Psychology/Coaching
Fixed Fee (Subscription, Retai...
Investment Advice with Ongoing...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)KIWANIS CLUB OF DELTA TOWNSHIP, 5130 DAVENPORT DR, LANSING MI, 11/2015 AS SECRETARY. NIR - NPO - 1 HR/WK - 1/TRADING.
2-CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 25/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
3-LOAVES & FISHES MINISTRIES, 831 SYCAMORE ST, LANSING, MI, 2/2016 AS CORE COMMUNITY BOARD MEMBER. NIR - 4 HR/MO - 0/TRADING.
4-THE DAVIES PROJECT, 528 N MLK JR. BLVD, LANSING, MI, 3/2016 AS PRESIDENT. NIR - 4 HR/MO - 0/TRADING.
5.MID MICHIGAN MENS SOCCER LEAGUE 30+ LEAGUE, LANSING, MI, 4/2017 AS MANAGER/COACH. NIR - 2/WK - 0/TRADING.
6.INDEPENDENT INSURANCE AGENT, 3721 W MICHIGAN AVE, STE 100, LANSING, MI, 11/2015 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1 HR/WK - 1/TRADING.
7.GREATER LANSING AREA SOCCER REFEREE ASSOC, LANSING, MI, 9/2016 AS REFEREE. NIR - 3 HR/WK - 0/TRADING.
8.DELTASIDE BUSINESS ASSOCIATION, LANSING, MI, 1/2019 AS DIRECTOR OF COMMUNITY ORGANIZATION OF BUSINESSES FOR NETWORKING AND FUNDRAISING. NIR - 2/MO - 1/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Frank Nauta'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®
CFP®
Start date: 2011
Experience
Current
February 7, 2019 - Present
SHOTWELL RUTTER BAER INC
Office #1: 6350 West Michigan Avenue Suite 200, Lansing, MI 48917RIA
CRD#: 122789
Lansing, MI
Past
November 10, 2015 - February 13, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Lansing, MI
Past
November 6, 2015 - February 13, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Lansing, MI
Past
October 11, 2011 - November 6, 2015
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN DIEGO, CA
Past
September 15, 2011 - November 6, 2015
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
December 12, 2008 - September 16, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
LANSING, MI
Past
December 12, 2008 - September 16, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
LANSING, MI
Past
October 3, 2006 - December 5, 2008
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
MASON, MI
Past
September 20, 2006 - December 5, 2008
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
MASON, MI
Past
February 3, 2006 - August 1, 2006
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
LANSING, MI
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".
SHOTWELL RUTTER BAER INC
BAER, ELIZABETH ELLEN | SHOTWELL RUTTER BAER INC | RUTTER BAER INC REGISTERED INVESTMENT ADVISOR | RUTTER BAER INC | ELIZABETH RUTTER BAER CFP INC | ELIZABETH RUTTER BAER CFP
CRD#: 122789 / SEC#: 801-120091
RIA
Registered Investment Advisory firm - (1/4/2021 Approved)California
Registered Investment Advisory firm - (2/26/2021 Terminated)Florida
Registered Investment Advisory firm - (1/27/2021 Terminated)Indiana
Registered Investment Advisory firm - (1/29/2021 Terminated)Michigan
Registered Investment Advisory firm - (10/5/2021 Terminated)Texas
Registered Investment Advisory firm - (1/27/2021 Terminated)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
California(2/7/2019)
IAR
Florida(3/19/2019)
IAR
Hawaii(2/7/2019)
IAR
Indiana(2/7/2019)
IAR
Michigan(2/7/2019)
IAR
Texas(2/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SHOTWELL RUTTER BAER INC
BAER, ELIZABETH ELLEN | SHOTWELL RUTTER BAER INC | RUTTER BAER INC REGISTERED INVESTMENT ADVISOR | RUTTER BAER INC | ELIZABETH RUTTER BAER CFP INC | ELIZABETH RUTTER BAER CFP
CRD#: 122789 / SEC#: 801-120091
RIA
Registered Investment Advisory firm - (1/4/2021 Approved)California
Registered Investment Advisory firm - (2/26/2021 Terminated)Florida
Registered Investment Advisory firm - (1/27/2021 Terminated)Indiana
Registered Investment Advisory firm - (1/29/2021 Terminated)Michigan
Registered Investment Advisory firm - (10/5/2021 Terminated)Texas
Registered Investment Advisory firm - (1/27/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6350 West Michigan Avenue Suite 200, Lansing, MI 48917
Mailing Address
Phone number
(517) 321-4832
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 720 |
| AUM (Assets Under Management) | $ 167,148,208 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
