NS
Nicholas N. Schulte
BRASS TAX WEALTH MANAGEMENT
Cincinnati, OH 45241
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CRD#: 5197002
NS
Professional summary
Nicholas N Schulte, AIF®, CFP®, who also goes by Nick Schulte, is a registered financial advisor currently at BRASS TAX WEALTH MANAGEMENT located in Cincinnati, Ohio and WAVERLY ADVISORS, LLC located in Cincinnati, Ohio.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Nicholas has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Tax Planning
Investment Planning
Education Planning
Budgeting
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
Nick Schulte
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. 10/18/2017 - NINCO - Investment Related - CINCINNATI, OH - Real Estate Rental - Start Date 2013 - 1 Hrs/Mth - 0 Hrs During Trading. 2. 10/18/2017 - SCHULTE FINANCIAL GROUP, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 0 Hrs/Mth - 0 Hrs During Trading. 3. 10/18/2017 - Schulte & Uhrig CPAs - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Partner - Start Date 2007 - 10 Hours Per Month/5 During Securities Trading. 4. 9/29/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Other-notary - Notary Public - Started 04/26/2020 - Notary in State of OH -1 Hour Per Month During Securities Trading - 5) 07/30/2025 - Brass Tax Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:07/30/2025 - 80 Hrs/Mth - 4 Hrs During Trading.I provide investment advisory services through Brass Tax Wealth Management, an independent investment advisor firm. I started this business activity in 7/2014. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas N Schulte'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: 2013
Experience
Current
November 4, 2016 - Present
BRASS TAX WEALTH MANAGEMENT
Office #1: 4755 Cornell Road Suite 102a, Cincinnati, OH 45241RIA
CRD#: 285249
Cincinnati, OH
Current
September 23, 2025 - Present
WAVERLY ADVISORS, LLC
Office #1: 4755 Cornell Rd, Cincinnati, OH 45241RIA
CRD#: 115332
Cincinnati, OH
Past
February 14, 2018 - October 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLUE ASH, OH
Past
February 14, 2018 - September 18, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
BLUE ASH, OH
Past
February 6, 2017 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CINCINNATI, OH
Past
October 13, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
Past
May 18, 2010 - October 6, 2011
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Past
August 13, 2007 - May 13, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)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
Ohio(11/15/2016)
IAR
Texas(3/7/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Cincinnati, OH 45241TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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