Nicholas S. Whitaker

JESSUP WEALTH MANAGEMENT

Dayton, OH 45419

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CRD#: 7360889

Professional summary

Nicholas S Whitaker is a registered financial advisor currently at JESSUP WEALTH MANAGEMENT located in Dayton, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nicholas has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas S Whitaker'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®

None

Experience

Current

January 5, 2023 - Present

JESSUP WEALTH MANAGEMENT

Office #1: 35 Park Avenue, Dayton, OH 45419

RIA

CRD#: 323035

Dayton, OH

Past

May 14, 2021 - January 3, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Dayton, OH

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".

JESSUP WEALTH MANAGEMENT

JESSUP WEALTH MANAGEMENT | JESSUP WEALTH MANAGEMENT, INC.

CRD#: 323035 / SEC#: 801-127039

RIA

Registered Investment Advisory firm - (12/15/2022 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

Ohio
(1/5/2023)

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 65

Date: 5/13/2021

Uniform Investment Adviser Law Examination

Current Firm

JESSUP WEALTH MANAGEMENT

JESSUP WEALTH MANAGEMENT | JESSUP WEALTH MANAGEMENT, INC.

CRD#: 323035 / SEC#: 801-127039

RIA

Registered Investment Advisory firm - (12/15/2022 Approved)

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Contact information

Main Address

35 Park Avenue, Dayton, OH 45419

Mailing Address

Phone number

(937) 938-9105

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 298,454,853

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas S. Whitaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas S Whitaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

JESSUP WEALTH MANAGEMENT

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

JESSUP WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2021

Current Firm

JESSUP WEALTH MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JESSUP WEALTH MANAGEMENT

TRUST BUT VERIFY

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