Nicholas Estey

GOELZER INVESTMENT MANAGEMENT

CARMEL, IN 46032

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CRD#: 5983394

Professional summary

Nicholas Estey, who also goes by Nicholas Quentin Estey, Nick Estey, is a registered financial advisor currently at GOELZER INVESTMENT MANAGEMENT located in Carmel, Indiana.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nicholas has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Quentin Estey | Nick Estey

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.) CIRCLE CITY LACROSSE LLC; DIRECTOR; START DATE 08/01/2015;80 HOURS PER MONTH. 2.) BREBEUF JESUIT PREPARATORY SCHOOL; HEAD LACROSSE COUCH; EDUCATION/TEACHING; START DATE 09/01/2012; 80 HOURS PER MONTH. 3.)BRUNETTE & ASSOCIATES; RSA; DBA (ONLY OFFERSFIRST ALLIED PRODUCTS/SERVICES; START DATE 10/05/2020; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Estey'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®

None

Experience

Current

January 9, 2024 - Present

GOELZER INVESTMENT MANAGEMENT

Office #1: 10 East Main Street Suite 110, Carmel, IN 46032

RIA

CRD#: 44402

CARMEL, IN

Past

September 8, 2022 - November 3, 2023

CETERA ADVISORS LLC

CRD#: 10299

INDIANAPOLIS, IN

Past

January 20, 2022 - November 3, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

INDIANAPOLIS, IN

Past

October 22, 2020 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

INDIANAPOLIS, IN

Past

October 15, 2019 - September 12, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

INDIANAPOLIS, IN

Past

October 14, 2019 - September 12, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

INDIANAPOLIS, IN

Past

June 24, 2019 - July 11, 2019

MARINER WEALTH

RIA

CRD#: 140195

INDIANAPOLIS, IN

Past

April 13, 2015 - December 31, 2018

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

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".

GOELZER INVESTMENT MANAGEMENT

GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT

CRD#: 44402 / SEC#: 801-55588, 8-50682

RIA

Registered Investment Advisory firm - SEC (6/30/1998 Approved)

Terminated by SEC on 08/22/2015

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

Indiana
(1/9/2024)

IAR

Massachusetts
(4/17/2025)

IAR

Texas
(4/5/2025)

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: 6/24/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/11/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/13/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GOELZER INVESTMENT MANAGEMENT

GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT

CRD#: 44402 / SEC#: 801-55588, 8-50682

RIA

Registered Investment Advisory firm - SEC (6/30/1998 Approved)

Terminated by SEC on 08/22/2015

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Contact information

Main Address

10 East Main Street Suite 110, Carmel, IN 46032

Mailing Address

Phone number

(317) 264-2600

Established

Indiana since 10/16/1997

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A UPDATE 08152025 (8/15/2025)

Direct owners and executive officers

Name	Position	CRD#
FREIHOFER, LISA GOELZER	OWNER
GOELZER, GREGORY WILLIAM	VICE CHAIRMAN AND CEO	1040238
GOELZER, SANDRA KAY	OWNER
JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991	OWNER
MCKAMEY, BRETT DEAN	PRESIDENT AND COO	1706545
CONCANNON, JAMES ANDREW	OWNER	1722214
GOELZER EMPLOYEE STOCK OWNERSHIP PLAN	OWNER
SMITH, NEAL ANDREW	OWNER	2168145
BUSH, JEFFREY ADAM	CHIEF COMPLIANCE OFFICER	6157908
RYNERSON, DEBRA ANN	FINANCIAL OPERATIONS PRINCIPAL	1741218

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 3,846,550,007

Disclosures

Regulatory Event	1
Arbitration	2

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 Estey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MARINER WEALTH

THE LEADERS GROUP, INC.

Primary Firm SEC Registration

GOELZER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2019

Series 63

Date: 9/11/2017

Series 7TO

Date: 1/11/2021

SIE

Date: 10/1/2018

Series 6

Date: 4/13/2015

Current Firm

GOELZER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOELZER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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