Nicholas B. Stecklein

DIVERSIFY WEALTH MANAGEMENT

Orem, UT 84097

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CRD#: 6827498

Professional summary

Nicholas Brian Stecklein, CFP®, who also goes by Nick Stecklein, is a registered financial advisor currently at DIVERSIFY WEALTH MANAGEMENT, LLC located in Orem, Utah and DFPG INVESTMENTS, LLC located in Sandy, Utah.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Stecklein

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.

NORTH CAPITAL INVESTMENT TECHNOLOGY INC. (NCIT) CO-LOCATED WITH THE MEMBER FIRM. . NOT INVESTMENT-RELATED. FINANCIAL ADVISOR. DE CORP. HOLDS CERTAIN INTELLECTUAL PROPERTY ASSETS OF NORTH CAPITAL GROUP COMPANIES ALONG WITH THE COMMON EQUITY OF NORTH CAPITAL PRIVATE SECURITIES CORP. 160 HRS / MO. INCLUDING SUBSIDIARIES (INCLUDING THE REGISTRANT, NCPS); 100 DURING MARKET HOURS. Advantage Tax and Planning. Tax preparation for prospects and clients of North Capital Advisory Business. 10 hrs/week. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Brian Stecklein'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: 2020

Experience

Current

March 10, 2025 - Present

DIVERSIFY WEALTH MANAGEMENT, LLC

Office #1: 462 E 800 N, Orem, UT 84097

RIA

CRD#: 329878

Orem, UT

Current

March 10, 2025 - Present

DFPG INVESTMENTS, LLC

Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070

CRD#: 155576

Sandy, UT

Past

July 13, 2021 - June 10, 2024

NORTH CAPITAL

RIA

CRD#: 148802

SALT LAKE CITY, UT

Past

July 13, 2021 - June 10, 2024

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

October 13, 2020 - July 15, 2021

DFPG INVESTMENTS, LLC

CRD#: 155576

OREM, UT

Past

February 27, 2020 - July 16, 2021

DIVERSIFY WEALTH MANAGEMENT LLC

RIA

CRD#: 145593

OREM, UT

Past

March 12, 2019 - February 25, 2020

MOSS ADAMS WEALTH ADVISORS LLC

RIA

CRD#: 108917

Woodland Hills, CA

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".

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 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

Utah
(3/10/2025)

IAR

Utah
(3/10/2025)

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

Series 63

Date: 11/19/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/12/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/13/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/27/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 Approved)

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Contact information

Main Address

9017 S Riverside Dr Suite 210, Sandy, UT 84070

Mailing Address

Phone number

(801) 838-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIVERSIFY WEALTH MANAGEMENT (7/25/2025)

Regulatory assets under management

Total Number of Accounts	12,760
AUM (Assets Under Management)	$ 2,526,799,821

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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Advisor Monitoring

Firm Stability Insights

Nicholas B. Stecklein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Brian Stecklein's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFPG INVESTMENTS, LLC

NORTH CAPITAL

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

DFPG INVESTMENTS, LLC

DIVERSIFY WEALTH MANAGEMENT LLC

MOSS ADAMS WEALTH ADVISORS LLC

Primary Firm SEC Registration

DIVERSIFY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/2020

Series 65

Date: 3/12/2019

Series 7TO

Date: 10/13/2020

SIE

Date: 5/27/2020

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVERSIFY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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