Nicholas S. Reed
CAPSTONE FINANCIAL ADVISORS
BRENTWOOD, TN 37027
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CRD#: 7252345
Professional summary
Nicholas Stephen Reed, CFP® is a registered financial advisor currently at CAPSTONE FINANCIAL ADVISORS INC located in Brentwood, Tennessee.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. 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
None
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.
RIVERBEND FINANCIAL GROUP POSITION: Client Relationship Manager NATURE: Employment at Riverbend Financial Group as a Client Relationship Manager INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 04/13/2020 ADDRESS: 605 N Shore Drive, Jeffersonville IN 47130 DESCRIPTION: I am currently in a client relationship manager role where I deal with customer service. I am studying for my licensing exams as well. RIVERBEND FINANCIAL GROUP POSITION: Investment Advisor NATURE: Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 07/15/2020 ADDRESS: 605 N Shore Drive, Jeffersonville IN 47130, United States DESCRIPTION: Investment Advisory Services RIVERBEND FINANCIAL GROUP, LLC POSITION: Employee, Owner NATURE: Fixed Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/15/2020 ADDRESS: 605 N Shore Drive, Suite 104, Jeffersonville IN 47130, United States DESCRIPTION: Providing insurance products brokered through other companies to clients SAA POSITION: Advisor NATURE: Investment Advisory Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/27/2001 ADDRESS: 12325 Port Grace Blvd, LaVista NE 68128, United States DESCRIPTION: Financial advice to clients
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Stephen Reed'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®
CFP®
Start date: 2023
Experience
Current
May 10, 2023 - Present
CAPSTONE FINANCIAL ADVISORS INC
Office #1: 8 Cadillac Drive Suite 160, Brentwood, TN 37027RIA
CRD#: 109341
BRENTWOOD, TN
Past
July 15, 2020 - May 15, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
JEFFERSONVILLE, IN
Past
June 17, 2020 - May 15, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
JEFFERSONVILLE, IN
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".
CF
CAPSTONE FINANCIAL ADVISORS INC
CAPSTONE FINANCIAL ADVISORS INC
CRD#: 109341 / SEC#: 801-56979
RIA
Registered Investment Advisory firm - (11/16/1999 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.Highlighted states indicate IAR registrations
IAR
Illinois(5/10/2023)
IAR
Tennessee(7/3/2025)
IAR
Texas(5/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
CF
CAPSTONE FINANCIAL ADVISORS INC
CAPSTONE FINANCIAL ADVISORS INC
CRD#: 109341 / SEC#: 801-56979
RIA
Registered Investment Advisory firm - (11/16/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2001 Butterfield Road Suite 1750, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 241-0833
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,008 |
| AUM (Assets Under Management) | $ 2,441,937,272 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/15/2025 | ||
| 01/06/2025 | ||
| 12/19/2023 | ||
| 07/25/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
