Nicholas J. Eggert
Professional summary
Nicholas Justin Eggert, CFP®, who also goes by Nicholas J Eggert, Nick Justin Eggert, is a registered financial advisor currently at FACET located in Chicago, Illinois.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Justin Eggert's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2022 - Present
FACET
June 18, 2019 - April 6, 2022
ROBERT W. BAIRD & CO. INCORPORATED
November 12, 2018 - April 6, 2022
ROBERT W. BAIRD & CO. INCORPORATED
June 2, 2017 - November 13, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
FACET
CRD#: 285961 / SEC#: 801-108767
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/5/2024)
(11/7/2022)
Exams
Series 7TO
Date: 2/25/2019
General Securities Representative ExaminationCurrent Firm
FACET
CRD#: 285961 / SEC#: 801-108767
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 36,817 |
| AUM (Assets Under Management) | $ 4,754,146,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 |
Red Flags
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