Nicholas J. Eppler

SCHWAB WEALTH ADVISORY | Financial Consultant, Branches

Chicago, IL 60606-4111

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CRD#: 7382709

Professional summary

Nicholas James Eppler, who also goes by Nick Eppler, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Chicago, Illinois and CHARLES SCHWAB & CO., INC. located in Chicago, Illinois.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 8 firms and has passed the Series 66, Series 7TO and SIE exams.

Biography

I partner with clients to help simplify their finances, so they can invest & retire with confidence.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Eppler

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.

I am a full time Product Specialist of Revere Electric Supply Company at 8807 W 187th St, Mokena, IL 60448. This business is not investment related, it is an electrical supply company and my role is related to sales/marketing. Because this is a full time position, I work 160 hours per month- all during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas James Eppler'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

Education

The American College of Financial Services

CFP® Certification Education Program - Financial Planning

Thomas Edison State University

Bachelor of Arts (BA) - Liberal Studies

2012

Experience

Current

July 11, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 150 S. Wacker Dr., Chicago, IL 60606-4111

RIA

CRD#: 159035

Chicago, IL

Current

July 11, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 150 S. Wacker Drive, Chicago, IL 60606-4111

RIA

CRD#: 5393

Chicago, IL

Past

January 7, 2025 - July 9, 2025

SONAR WEALTH, LLC

RIA

CRD#: 332945

WHEATON, IL

Past

September 1, 2023 - January 22, 2024

EDWARD JONES

RIA

CRD#: 250

WHEATON, IL

Past

September 1, 2023 - January 22, 2024

EDWARD JONES

CRD#: 250

WHEATON, IL

Past

March 24, 2022 - July 31, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WOODMERE VILLAGE, OH

Past

March 15, 2022 - July 28, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CHICAGO, IL

Past

January 5, 2022 - February 15, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CLEVELAND, OH

Past

January 4, 2022 - February 15, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

CLEVELAND, OH

Past

August 25, 2021 - December 16, 2021

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BEACHWOOD, OH

Past

August 16, 2021 - December 16, 2021

PARK AVENUE SECURITIES LLC

CRD#: 46173

BEACHWOOD, 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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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

Arizona
(9/11/2025)

Florida
(9/13/2025)

Illinois
(7/11/2025)

IAR

Illinois
(7/11/2025)

Indiana
(9/13/2025)

Michigan
(9/13/2025)

Minnesota
(9/13/2025)

Missouri
(9/13/2025)

Ohio
(9/14/2025)

Pennsylvania
(9/13/2025)

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

IAR

Series 66

Date: 10/7/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/14/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/6/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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

xxxxx@xxxx.xxx

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Advisor Monitoring

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Nicholas J. Eppler

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas James Eppler's CRS (Customer Relationship Summary).

Certified licenses

Education

The American College of Financial Services

Thomas Edison State University

Experience

CHARLES SCHWAB & CO., INC.

SONAR WEALTH, LLC

EDWARD JONES

EDWARD JONES

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2021

Series 7TO

Date: 8/14/2021

SIE

Date: 7/6/2021

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

Contact information

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