ND
Nicholas Dorsett
SEAMOUNT FINANCIAL GROUP
COLORADO SPRINGS, CO 80903
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CRD#: 6719629
ND
Professional summary
Nicholas Dorsett, who also goes by Nick Dorsett, is a registered financial advisor currently at SEAMOUNT FINANCIAL GROUP INC located in Colorado Springs, Colorado and LPL FINANCIAL LLC located in Colorado Springs, Colorado.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Dorsett
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- 05/2025 - Seamount Financial Group, LLC - Registered Investment Advisor - IAR - Investment Related - At Reported Business Location(s) - Start Date 01/01/1999 - 160 hours per month/ 80 hours during trading - I provide investment advisory services through Seamount Financial Group, LLC, an independent investment advisor firm. I started this business activity in 07/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2- 05/2025 - Nicholas Dorsett - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/12/2023 - 2 hours per month/ during trading
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Dorsett's 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®
NoneExperience
Current
November 4, 2022 - Present
SEAMOUNT FINANCIAL GROUP INC
Office #1: 90 So Cascade Avenue Suite 970, Colorado Springs, CO 80903RIA
CRD#: 107834
COLORADO SPRINGS, CO
Current
May 1, 2025 - Present
LPL FINANCIAL LLC
Office #1: 90 S Cascade Av Ste 970, Colorado Springs, CO 80903RIA
BD
CRD#: 6413
Colorado Springs, CO
Past
October 6, 2022 - May 1, 2025
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Colorado Springs, CO
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".
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
Registered Investment Advisory firm - (4/6/1999 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.RR
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
IAR
California(11/4/2022)
RR
California(5/1/2025)
IAR
Colorado(11/4/2022)
RR
Colorado(5/1/2025)
RR
Maryland(11/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/6/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
Registered Investment Advisory firm - (4/6/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
90 So Cascade Avenue Suite 970, Colorado Springs, CO 80903
Mailing Address
Phone number
(719) 471-1171
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,604 |
| AUM (Assets Under Management) | $ 665,191,281 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834Colorado Springs, CO 80903TRUST BUT VERIFY
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