Unclaimed Profile

Nicholaus Samuel Glocke

USA MUTUALS ADVISORS, INC.·DALLAS, Texas

SIE, Series 7, Series 66Clean record12 years registeredUSA MUTUALS ADVISORS, INC.

700 N. PEARL, DALLAS, TX 75201CRD# 6335801Firm CRD# 131750

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicholaus Samuel Glocke · DALLAS, TX

Registration

CRD #6335801 · USA MUTUALS ADVISORS, INC. · 12 years registered

Brand Profile

Not yet started

Career History

FISHER INVESTMENTS

Oct 2025 – present

STRATEGIC ADVISERS LLC

Mar 2025 – Oct 2025

MEQUON, WI

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Nov 2021 – Mar 2025

MEQUON, WI

USA MUTUALS ADVISORS, INC.

May 2018 – Dec 2019

Milwaukee, WI

WELLS FARGO FUNDS MANAGEMENT, LLC

Dec 2016 – Sep 2017

Menomonee Falls, WI

BMO HARRIS FINANCIAL ADVISORS, INC

Aug 2014 – Jun 2016

BROOKFIELD, WI

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · August 14, 2014

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

USA MUTUALS ADVISORS, INC.

CRD 131750 · SEC 801-63216

AUM

$87M

Regulatory assets under management

Employees

2 client accounts

Services offered by USA MUTUALS ADVISORS, INC.

Per Form ADV

Portfolio management (pooled investments)

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at USA MUTUALS ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Nicholaus Samuel Glocke offer?

Nicholaus Samuel Glocke specializes in Investment Management, Fee-Only Advisory. Contact their office in DALLAS, Texas for a consultation.

What are Nicholaus Samuel Glocke's credentials?

Nicholaus Samuel Glocke is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicholaus Samuel Glocke located?

Nicholaus Samuel Glocke is based in DALLAS, Texas, working with USA MUTUALS ADVISORS, INC.. Their office serves clients in the DALLAS metropolitan area and surrounding communities.

How does Nicholaus Samuel Glocke charge for services?

Nicholaus Samuel Glocke's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is USA MUTUALS ADVISORS, INC.?

USA MUTUALS ADVISORS, INC. has approximately 4 employees and manages $87M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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