Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Dalmaso is a financial professional with over 27 years of experience in the financial services industry. Nicholas is currently registered with Sound Capital Solutions LLC and is a registered Investment Advisor Representative (IAR) in the state of Illinois. Before that, Nicholas was employed by M1 FINANCE LLC, DESTRA CAPITAL INVESTMENTS LLC, CLAYMORE SECURITIES, INC., and NUVEEN INVESTMENTS. Nicholas is also a consultant and equity holder of M1 Holdings, Inc. and an independent chair of the DESTRA Family of Funds Board and the Milliman Variable Investment Trust. Nicholas has experience in investment company products, variable contracts, general securities, and investment advisory services. Nicholas holds Series 6, 7, 14, 24, 27, 63, 65, and 99TO licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Strategic management for diversified investment portfolios.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
IL
01/11/2024 - Present
Sound Capital Solutions LLC (CHICAGO IL)
IL
12/22/2020 - 03/01/2022
M1 FINANCE LLC (CHICAGO IL)
IL
03/25/2016 - 12/31/2019
M1 FINANCE LLC (Chicago IL)
IL
03/16/2011 - 08/19/2015
DESTRA CAPITAL INVESTMENTS LLC (Chicago IL)
IL
01/09/2002 - 06/12/2008
CLAYMORE SECURITIES, INC. (LISLE IL)
IL
11/09/1999 - 12/31/2001
NUVEEN INVESTMENTS (CHICAGO IL)
TX
09/16/1992 - 07/13/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
IA
Issued 10/02/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1993
Series 7 - General Securities Representative Examination
BC
Issued 09/14/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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