Unclaimed Profile

Steven Ross Nichols

WARNKE/NICHOLS LTD.·DELAFIELD, Wisconsin

Series 6, Series 63, Series 65Clean record33 years registeredWARNKE/NICHOLS LTD.

440 WELLS STREET, DELAFIELD, WI 53018CRD# 2006460Firm CRD# 112181

Profile Verification

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

Identity

Steven Ross Nichols · DELAFIELD, WI

Registration

CRD #2006460 · WARNKE/NICHOLS LTD. · 33 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WARNKE/NICHOLS LTD.

WARNKE/NICHOLS LTD.

Jun 2023 – Jun 2026

DELAFIELD, WI

WARNKE/NICHOLS LTD.

May 1993 – Feb 2014

HALES CORNERS, WI

Registrations & Exams

FINRA examinations passed

Series 6

Series 63

Series 65

Registration record

First registered · May 12, 1993

Years registered · 33

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WARNKE/NICHOLS LTD.

CRD 112181 · SEC 801-79230

AUM

$195M

Regulatory assets under management

Employees

306 client accounts

Services offered by WARNKE/NICHOLS LTD.

Per Form ADV

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

View all advisors at WARNKE/NICHOLS LTD. →

Introduction

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Frequently Asked Questions

What services does Steven Ross Nichols offer?

Steven Ross Nichols specializes in Investment Management.

What are Steven Ross Nichols's credentials?

Steven Ross Nichols is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Ross Nichols located?

Steven Ross Nichols is based in DELAFIELD, Wisconsin, last registered with WARNKE/NICHOLS LTD..

How does Steven Ross Nichols charge for services?

Steven Ross Nichols's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WARNKE/NICHOLS LTD.?

WARNKE/NICHOLS LTD. has approximately 3 employees and manages $195M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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