Nicholas A. Duthie

DBM ADVISORS

OKLAHOMA CITY, OK 73102

CRD#: 5870451

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Professional summary

Nicholas A Duthie, who also goes by Nicholas Alexander Duthie, is a registered financial advisor currently at DBM ADVISORS, LLC located in Oklahoma City, Oklahoma.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicholas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Alexander Duthie

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas A Duthie'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

June 8, 2018 - Present

DBM ADVISORS, LLC

Office #1: 101 Park Ave Ste 400, Oklahoma City, OK 73102

RIA

CRD#: 293138

OKLAHOMA CITY, OK

Past

June 14, 2024 - June 5, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

OKLAHOMA CITY, OK

Past

June 14, 2024 - June 5, 2026

OSAIC WEALTH, INC.

CRD#: 23131

OKLAHOMA CITY, OK

Past

May 20, 2015 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

OKLAHOMA CITY, OK

Past

May 20, 2015 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

OKLAHOMA CITY, OK

Past

April 8, 2011 - May 22, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OKLAHOMA CITY, OK

Past

January 27, 2011 - May 22, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OKLAHOMA CITY, OK

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

Oklahoma
(6/14/2018)

IAR

Texas
(6/8/2018)

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: 4/7/2011

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: 1/26/2011

General Securities Representative Examination

Current Firm

DBM ADVISORS, LLC

BIGGS FINANCIAL | DBM ADVISORS, LLC

CRD#: 293138 / SEC#:

Louisiana

Registered Investment Advisory firm - (5/13/2020 Approved)

Oklahoma

Registered Investment Advisory firm - (6/14/2018 Approved)

Texas

Registered Investment Advisory firm - (6/8/2018 Approved)

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Contact information

Main Address

101 Park Ave Ste 400, Oklahoma City, OK 73102

Mailing Address

Phone number

(405) 601-5498

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Nicholas A. Duthie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas A Duthie's CRS (Customer Relationship Summary).

Certified licenses

Experience

DBM ADVISORS, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2011

Current Firm

DBM ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

DBM ADVISORS, LLC

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