AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NS

Nick Splinter

STACKSTONE WEALTH
DUBUQUE, IA 52003
Some features on this profile are disabled
CRD#: 7910406
NS
Nick SplinterSTACKSTONE WEALTH

Professional summary

Nick Splinter, who also goes by Nicholas Splinter, Nicholas Joseph Splinter, is a registered financial advisor currently at STACKSTONE WEALTH, LLC located in Dubuque, Iowa.

Nick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Nick has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Nicholas Splinter | Nicholas Joseph Splinter

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.
INSURANCE AGENT; INVESTMENT-RELATED; DUBUQUE, IA; INSURANCE SALES AND SERVICE; AGENT; 03/26; HOURS AS NEEDED TO SERVICE CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nick Splinter'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

June 24, 2026 - Present

STACKSTONE WEALTH, LLC

Office #1: 6601 Boulder Brook Court, Dubuque, IA 52003
RIA
CRD#: 342692
DUBUQUE, IA
Past

January 12, 2026 - July 7, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Dubuque, IA
Past

July 31, 2025 - July 7, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Dubuque, IA

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
Iowa
(6/24/2026)

Exams

What does exam status mean?
State Security Law Exam
PR
IAR
Series 66
Status Unavailable
Passed: 12/30/2025
Uniform Combined State Law Examination
General Industry/Product Exam
PR
Series 7TO
Status Unavailable
Passed: 7/31/2025
General Securities Representative Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 1/17/2025
Securities Industry Essentials Examination

Current Firm

SW
STACKSTONE WEALTH, LLC
STACKSTONE WEALTH, LLC | WEST STATE WEALTH MANAGEMENT GROUP, LLC

CRD#: 342692 / SEC#: 801-136461

RIA
Registered Investment Advisory firm - (6/10/2026 120-Day Approval)
Loading...

Contact information

Main Address
6601 Boulder Brook Court, Dubuque, IA 52003
Mailing Address
Phone number
(563) 552-7000
Established
Firm type
Fiscal year end
# of Employees
27

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE - STACKSTONE WEALTH, LLC (6/24/2026)
0

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.

Company Information

STACKSTONE WEALTH, LLC

CRD#: 342692Dubuque, IA 52003

TRUST BUT VERIFY

Monitor Nick Splinter

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

NK
Nilufer KayaAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
PR
NEW YORK, NY
JP
John PorcelloAdvisorCheck Check Mark
EDELMAN FINANCIAL ENGINES
PR
SANTA CLARA, CA
JG
Jay GrayAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
PR
NEW YORK, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.