Nicholas D. Irwin

CETERA INVESTMENT ADVISERS LLC

LOCKHART, TX 78644

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CRD#: 6002688

Professional summary

Nicholas David Irwin, who also goes by Nic Irwin, Nicholas D Irwin, Nicholas Irwin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lockhart, Texas and CETERA WEALTH SERVICES, LLC located in Lockhart, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nic Irwin | Nicholas D Irwin | Nicholas Irwin

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) 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas David Irwin'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 111a S Church St, Lockhart, TX 78644

RIA

CRD#: 105644

LOCKHART, TX

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 111a S Church St, Lockhart, TX 78644Office #2: 1013 W San Antonio St #108, Lockhart, TX 78644

CRD#: 13572

Lockhart, TX

Past

March 25, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Lockhart, TX

Past

March 25, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Lockhart, TX

Past

June 18, 2020 - March 28, 2024

EDWARD JONES

RIA

CRD#: 250

LOCKHART, TX

Past

June 13, 2020 - March 28, 2024

EDWARD JONES

CRD#: 250

LOCKHART, TX

Past

April 11, 2018 - March 3, 2021

SWBC INVESTMENT ADVISORY SERVICES LLC

RIA

CRD#: 156155

AUSTIN, TX

Past

August 4, 2015 - April 5, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

KYLE, TX

Past

August 4, 2015 - April 5, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

KYLE, TX

Past

September 19, 2013 - July 1, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

AUSTIN, TX

Past

September 19, 2013 - July 1, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

AUSTIN, TX

Past

February 16, 2012 - September 5, 2013

EDWARD JONES

RIA

CRD#: 250

AUSTIN, TX

Past

January 25, 2012 - September 5, 2013

EDWARD JONES

CRD#: 250

AUSTIN, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (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.

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

Visual representation of state registrations

Colorado
(9/5/2025)

Michigan
(9/5/2025)

Montana
(9/5/2025)

New Mexico
(9/5/2025)

South Dakota
(9/5/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/5/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/13/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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Contact information

Main Address

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

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

(xxx) xxx-xxxx

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Firm Stability Insights

Nicholas D. Irwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

EDWARD JONES

EDWARD JONES

SWBC INVESTMENT ADVISORY SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/5/2020

Series 7TO

Date: 6/13/2020

SIE

Date: 4/5/2017

Series 7

Date: 1/24/2012

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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