Nicholas E. Whitmer

GUIDANCE CAPITAL

Louisville, KY 40245

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CRD#: 6236559

Professional summary

Nicholas Edward Whitmer, CFP® is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky and DMLO WEALTH PLANNING, LLC located in Louisville, Kentucky.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Licensed insurance professional; non-investment-related; same address; less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Edward Whitmer'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

October 28, 2022 - Present

GUIDANCE CAPITAL, INC.

Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245

RIA

CRD#: 323541

Louisville, KY

Current

June 2, 2023 - Present

DMLO WEALTH PLANNING, LLC

Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245

RIA

CRD#: 316202

Louisville, KY

Past

April 12, 2022 - December 15, 2022

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

Louisville, KY

Past

July 11, 2017 - March 30, 2022

CERITY PARTNERS OCIO LLC

RIA

CRD#: 151916

LOUISVILLE, KY

Past

August 29, 2013 - May 16, 2017

JEFFERSON NATIONAL SECURITIES CORPORATION

CRD#: 47582

COLUMBUS, OH

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".

GUIDANCE CAPITAL, INC.

CRD#: 323541 / SEC#: 801-126764

RIA

Registered Investment Advisory firm - (10/21/2022 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

Kentucky
(10/28/2022)

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: 7/11/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/24/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/29/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUIDANCE CAPITAL, INC.

CRD#: 323541 / SEC#: 801-126764

RIA

Registered Investment Advisory firm - (10/21/2022 Approved)

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Contact information

Main Address

2020 High Wickham Place Suite 200, Louisville, KY 40245

Mailing Address

Phone number

(502) 813-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDANCE CAPITAL - ADV PART 2A BROCHURE (6/13/2025)

Regulatory assets under management

Total Number of Accounts	572
AUM (Assets Under Management)	$ 384,153,124

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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CERITY PARTNERS LLC

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Advisor Monitoring

Firm Stability Insights

Nicholas E. Whitmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

DMLO WEALTH PLANNING, LLC

MONEY CONCEPTS CAPITAL CORP

CERITY PARTNERS OCIO LLC

JEFFERSON NATIONAL SECURITIES CORPORATION

Primary Firm SEC Registration

GUIDANCE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2017

Series 63

Date: 12/24/2013

SIE

Date: 5/16/2017

Series 6

Date: 8/29/2013

Current Firm

GUIDANCE CAPITAL, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUIDANCE CAPITAL, INC.

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