Nicholas W. Niemi

SEBOLD CAPITAL MANAGEMENT | Financial Advisor

Lisle, IL 60532

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CRD#: 6892949

Professional summary

Nicholas William Niemi, CFP®, who also goes by Nicholas Niemi, Nick William Niemi, is a registered financial advisor currently at SEBOLD CAPITAL MANAGEMENT, INC located in Lisle, Illinois.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Nicholas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Business Succession Planning

Estate Planning

Tax Planning

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Yes

Aliases

Nicholas Niemi | Nick William Niemi

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas William Niemi'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

November 2, 2025 - Present

SEBOLD CAPITAL MANAGEMENT, INC

Office #1: 2443 Warrenville Road Suite 150, Lisle, IL 60532

RIA

CRD#: 122941

Lisle, IL

Past

April 20, 2018 - February 7, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OAK BROOK, IL

Past

February 26, 2018 - February 7, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OAK BROOK, IL

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".

SEBOLD CAPITAL MANAGEMENT, INC

CRD#: 122941 / SEC#: 801-78616

RIA

Registered Investment Advisory firm - (9/27/2013 Approved)

Illinois

Registered Investment Advisory firm - (10/8/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(11/2/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/2018

General Securities Representative Examination

Current Firm

SEBOLD CAPITAL MANAGEMENT, INC

CRD#: 122941 / SEC#: 801-78616

RIA

Registered Investment Advisory firm - (9/27/2013 Approved)

Illinois

Registered Investment Advisory firm - (10/8/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2012 Conditional Restricted)

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Contact information

Main Address

2443 Warrenville Road Suite 150, Lisle, IL 60532

Mailing Address

Phone number

(630) 548-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE AND PART 2B BROCHURE SUPPLEMENT (3/21/2025)

Regulatory assets under management

Total Number of Accounts	880
AUM (Assets Under Management)	$ 331,209,249

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Nicholas W. Niemi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas William Niemi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEBOLD CAPITAL MANAGEMENT, INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SEBOLD CAPITAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2018

SIE

Date: 10/1/2018

Series 7

Date: 2/26/2018

Current Firm

SEBOLD CAPITAL MANAGEMENT, INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEBOLD CAPITAL MANAGEMENT, INC

TRUST BUT VERIFY

Contact information

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