NS
CFP
NS
CFP

Nicholas Patrick Smith

18 Years of Experience
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingHigh Net WorthBusiness Owners
Compensation
Fee-Only (AUM)
Firm Size
13 advisors
Number of Clients
1,601 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$3.0B

Fee Structure

Financial Planning:Included in AUM fee
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Location

1000 Jackson Street, Suite 201, Dubuque, IA, 52001

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Nicholas is a sole proprietor farmer in the Epworth, IA area. This business is not investment-related and takes about a quarter of his time.

Employment History
Current Registrations
Steele Capital Management, INC.
May 2007 - Present · 18 yrs 9 mos
State Registrations1 state
IA
Advisor
Exams
No exam information available for this advisor.
Nicholas Patrick Smith - Financial Advisor | TrueAdvisor