NP
Nicholas M. Piehler
DAVIE KAPLAN WEALTH CARE ADVISORS
ROCHESTER, NY 14618
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CRD#: 7574905
NP
Professional summary
Nicholas Michael Piehler, who also goes by Nicholas M Piehler, Nicholas Piehler, is a registered financial advisor currently at DAVIE KAPLAN WEALTH CARE ADVISORS, LLC located in Rochester, New York and DKCB FINANCIAL ADVISORS, LLC located in Rochester, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas M Piehler | Nicholas Piehler
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.
1) DAVIE KAPLAN CPA, P.C; Shareholder; CPA services:Accounting/Bookkeeping/CPA/Tax ServicesTax PlanningTax PreparationTax return filingsAttest services; NIR; HRS 20; HRS: 100; 08/26/2013; 1000 First Federal Plaza, Rochester NY 14614, United States; 1. Tax Services2. Audit Services3. Business accounting consulting services4. Peer Review services5. Recruiting / Staff Development 2) CATHOLIC NEWMAN COMMUNITY AT THE UNIVERSITY OF ROCHESTER; Finance Committee Chairman NATURE: Catholic Newman Community at the University of Rochester NIR; HRS 5; HRS 5; 07/01/2015; Interfaith Chapel 1045 Wilson Boulevard Box 270501, Rochester NY 14627, United States; Coordinate finance committee meetings and annual budgeting process, Review budget to actual performance quarterly, Provide advise on various financial concerns relating to the organization, Identify and discuss potential threats to the organization and relevant solutions. I make no investment decisions as the organization' investment activities are restricted and dictated by the Diocese of Rochester; 3) NATIVITY PREPARATORY ACADEMY OF ROCHESTER; Finance Committee Member / Board Member NATURE: catholic middle school for disadvantaged children in the Rochester, NY area. NIR; HRS: 10; HRS: 10; 07/01/2016; 15 Wahlin St, Rochester NY 14614; 1. Plan and administer the annual fund raiser, advise board regarding the finances of the organization, Annual 990 filing, Coordinate the annual audit of the organization. I make no investment decisions 4) J BOB PROPERTIES INC.; Owner; Rental real estate management; IR; # OF HRS: 10; TRADING HRS: 0; 07/06/2010; 42 Boxwood Ln, Fairport NY 14450; Coordinate rental of property, repairs, finances. 5) Davie Kaplan Wealth Care Advisors, LLC; Formerly DKCB Wealth Care Advisors, LLC) Start 1/1/2024; ADDR: Rochester NY; Investment Adviser Representative; NATURE: Financial svcs; IR # OF HRS: 40 ; TRADING HRS: 40; MEMBER/REFERRING ADVISOR 6) FRIENDS OF SCHOLASTIC CREW; Treasurer;. NPO for the McQuaid Jesuit Highschool crew team. The activity includes fund raising and registration. NIR; # OF HRS: 5; TRADING HRS: 0; 10/01/2024; 1800 South Clinton Ave, Rochester NY 14618; I will serve as the organization's treasurer. I will have no check signing authority and no banking authority. I will prepare the monthly bookkeeping and annual tax filings. 7) Eugene M. Petilli Spousal Lifetime Access TR; Co-Trustee; The trust is designed to hold stock in Grantor's Company for spouse. ; NIR; 0; 07/01/2022; 6977 Hackney CIR Victor NY 14564; None at this time until grantor's death. Grantor approximately 50s. I am the current trustee. 8) DKCB FINANCIAL ADVISORS, LLC - CRD# 126493 INVESTMENT RELATED: YES, SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES INVESTMENT ADVISORY REPRESENTATIVE, START DATE: 09/2023, APX NUMBER OF HOURS PER WEEK: .5, REFERRAL - REFER HIGH NET WORTH CLIENTS TO RIA AS APPROPRIATE; 9) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC CRD# 140436, INVESTMENT RELATED: YES SAME AS REGISTERED LOCATION : ADVISORY SERVICES INVESTMENT ADVISORY REPRESENTATIVE START DATE: 09/2023, APX NUMBER OF HOURS PER WEEK: .5, FINANCIAL PLANNING; 10) DAVIE KAPLAN PROFIT SHARING PLAN, INVESTMENT RELATED: YES, SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: PROFIT SHARING PLAN, START DATE: 05/2025, TRUSTEE, APX NUMBER OF HOURS PER WEEK: .5, REVIEWING INVESTMENT OPTIONS & PORTFOLIO PERFORMANCE WITHIN DAVIE KAPLAN'S PROFIT SHARING PLAN; 11. 2) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: ADVISOR, NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS:: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/2023 DESCRIPTION: ADVISOR - CONDUCTS INSURANCE SALES/REFERRALS
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Michael Piehler'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®
NoneExperience
Current
February 7, 2024 - Present
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 140436
ROCHESTER, NY
Current
February 23, 2024 - Present
DKCB FINANCIAL ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 126493
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618RIA
CRD#: 105644
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618BD
CRD#: 13572
ROCHESTER, NY
Past
February 3, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
ROCHESTER, NY
Past
September 29, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCHESTER, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Florida(9/5/2025)
IAR
New York(2/7/2024)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, NY 14618TRUST BUT VERIFY
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