Nicholas S. Oldham

MAINSTREET RIA LLC

O'FALLON, MO 63368

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CRD#: 5379115

Professional summary

Nicholas S Oldham, CFP®, who also goes by Oldham Steven Nicholas, Nicholas Steven Oldham, Nick Oldham, is a registered financial advisor currently at MAINSTREET RIA LLC located in O'fallon, Missouri.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Nicholas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Oldham Steven Nicholas | Nicholas Steven Oldham | Nick Oldham

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.

NICHOLAS OLDHAM-SOLE PROPRIETOR; INVESTMENT RELATED; O'FALLON, MO; INSURANCE; INSURANCE AGENT; 01/2018; 5HRS/5HRS; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas S Oldham'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

March 3, 2021 - Present

MAINSTREET RIA LLC

Office #1: 6700 Keaton Corporate Parkway Suite 102, O'fallon, MO 63368

RIA

CRD#: 6413

CHESTERFIELD, MO

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".

MAINSTREET RIA LLC

CRD#: 309150 / SEC#: 801-121454

RIA

Registered Investment Advisory firm - (6/8/2021 Approved)

Missouri

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 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

Missouri
(3/22/2021)

IAR

Texas
(3/3/2021)

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 66

Date: 1/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2007

General Securities Representative Examination

Current Firm

MAINSTREET RIA LLC

CRD#: 309150 / SEC#: 801-121454

RIA

Registered Investment Advisory firm - (6/8/2021 Approved)

Missouri

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 Terminated)

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Contact information

Main Address

6700 Keaton Corporate Parkway Suite 102, O'fallon, MO 63368

Mailing Address

Phone number

(888) 801-0325

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC ADV PART 2 (1/15/2025)

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 392,246,687

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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Advisor Monitoring

Firm Stability Insights

Nicholas S. Oldham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas S Oldham's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

MAINSTREET RIA LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2007

Current Firm

MAINSTREET RIA LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAINSTREET RIA LLC

TRUST BUT VERIFY

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