Nicholas David Irwin

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Contact Information

Direct

(xxx) xxx-xxxx

Website

xxxxxxxxxx.xxx

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Disclosures on record.

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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Years of Experience

14 years registered in the securities industry

Current & Past Employments

Current

CETERA INVESTMENT ADVISERS LLCCurrent·CRD# 105644

RIA

111a S Church St, Lockhart, TX 78644

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLCCurrent·CRD# 13572

BD

111a S Church St, Lockhart, TX 78644

September 5, 2025 - Present

Past

AVANTAX ADVISORY SERVICESPast·CRD# 104556

RIA

Lockhart, TX

March 25, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.Past·CRD# 13686

BD

Lockhart, TX

March 25, 2024 - September 5, 2025

EDWARD JONESPast·CRD# 250

RIA

Lockhart, TX

June 18, 2020 - March 28, 2024

EDWARD JONESPast·CRD# 250

BD

Lockhart, TX

June 13, 2020 - March 28, 2024

SWBC INVESTMENT ADVISORY SERVICES LLCPast·CRD# 156155

RIA

Austin, TX

April 11, 2018 - March 3, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

RIA

Kyle, TX

August 4, 2015 - April 5, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

BD

Kyle, TX

August 4, 2015 - April 5, 2017

J.P. MORGAN SECURITIES LLCPast·CRD# 79

RIA

Austin, TX

September 19, 2013 - July 1, 2015

J.P. MORGAN SECURITIES LLCPast·CRD# 79

BD

Austin, TX

September 19, 2013 - July 1, 2015

EDWARD JONESPast·CRD# 250

RIA

Austin, TX

February 16, 2012 - September 5, 2013

EDWARD JONESPast·CRD# 250

BD

Austin, TX

January 25, 2012 - September 5, 2013

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Current Firm

CI

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2026	Cover Page	Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) DAUNTLESS WEALTH MANAGEMENT LLC POSITION: Financial Advisor NATURE: This entity offers financial services related to financial planning, investment planning and management, and retirement planning and management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 10/31/2024 ADDRESS: 1013 W San Antonio St, Suite 108, Lockhart TX 78644, United States DESCRIPTION: Duties and activities of a financial advisor. 2) NI-HI ENTERPRISES LLC POSITION: Co-Owner NATURE: Ni-Hi Enterprisese was formed by Nicholas Irwin (71248) and Heidi Irwin (71247) to act as our business operations under Dauntless Wealth Management. This entity will be used for tax reporting of income and expenses, staffing, office leasing, and other normal business activities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/07/2024 ADDRESS: 715 NW River Rd, Martindale TX 78655, United States DESCRIPTION: I am the co-owner of this entity and will be responsible for tracking expenses, submitting any relevant information to our CPA. I will also be responsible for payroll to myself, Heidi Irwin, and any future staff that we may have.

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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".

CI

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (1/13/1984 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

South Dakota
(9/5/2025)

RR

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

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.Note:This rule does not apply to broker-dealer activity.