Nickolaus L. Shannon

BRIDGES INVESTMENT MANAGEMENT

Omaha, NE 68154

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CRD#: 6000651

Professional summary

Nickolaus Lee Shannon, who also goes by Nicholaus Shannon, Nick Lee Shannon, Nick Shannon, Nickolaus L Shannon, Nickolaus Lee Shannon, is a registered financial advisor currently at BRIDGES INVESTMENT MANAGEMENT INC located in Omaha, Nebraska.

Nickolaus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Nickolaus has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholaus Shannon | Nick Lee Shannon | Nick Shannon | Nickolaus L Shannon | Nickolaus Lee Shannon

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 Nickolaus Lee Shannon'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

June 28, 2024 - Present

BRIDGES INVESTMENT MANAGEMENT INC

Office #1: 13333 California St Suite 500, Omaha, NE 68154

RIA

CRD#: 6413

GILBERT, AZ

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".

BRIDGES INVESTMENT MANAGEMENT INC

BRIDGES INVESTMENT MANAGEMENT INC | BRIDGES TRUST

CRD#: 108028 / SEC#: 801-57056

RIA

Registered Investment Advisory firm - (12/9/1999 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

Nebraska
(6/28/2024)

IAR

Texas
(11/18/2024)

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: 8/15/2013

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: 6/8/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/23/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/19/2018

Investment Company Products/Variable Contracts Principal Examination

Current Firm

BRIDGES INVESTMENT MANAGEMENT INC

BRIDGES INVESTMENT MANAGEMENT INC | BRIDGES TRUST

CRD#: 108028 / SEC#: 801-57056

RIA

Registered Investment Advisory firm - (12/9/1999 Approved)

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Contact information

Main Address

13333 California St Suite 500, Omaha, NE 68154

Mailing Address

Po Box 542021, Omaha, NE 68154-8021

Phone number

(402) 397-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (3/31/2025)

ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,870
AUM (Assets Under Management)	$ 10,380,538,213

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report
01/13/2025	Cover Page	Report
12/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report

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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Nickolaus L. Shannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nickolaus Lee Shannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

BRIDGES INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2013

Series 24

Date: 1/23/2020

Series 26

Date: 1/19/2018

Current Firm

BRIDGES INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRIDGES INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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