Nicholas David Sponseller
Professional Summary
Nicholas David Sponseller, who also goes by Nicholas D Sponseller, is a registered financial advisor currently at TFO WEALTH PARTNERS located in Maumee, Ohio. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Nicholas has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas D Sponseller
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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.
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Years of Experience
8 years in the financial services industry
Current & Past Employments
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
Contact Information
Main Address
1440 Arrowhead Drive, Maumee, OH 43537Phone Number
(419) 891-9999# of Employees
67SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,341AUM (Assets Under Management)
$5,660,890,692Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | Cover Page | Report |
| 11/25/2025 | Cover Page | Report |
| 10/14/2024 | Cover Page | Report |
| 09/21/2023 | Cover Page | Report |
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
State Registrations and Notice Filings
(2/16/2018)
(8/15/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas David Sponseller's CRS (Customer Relationship Summary).
Similar Advisors
SMITH, BROWN & GROOVER, INC.
DUCHARME WEALTH ADVISORS, LLC
BETTER FINANCIAL EDUCATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
