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Nicholas Nmn Dalmaso

Sound Capital Solutions LLC

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About Nicholas Nmn Dalmaso

Nicholas 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.

Firm Information

Nicholas Dalmaso is currently registered with Sound Capital Solutions LLC. Sound Capital Solutions LLC is an investment advisor registered with the SEC. They provide portfolio management services to investment companies and have approximately $45.45 million in regulatory assets under management. The firm is headquartered in the United States and has a website at http://www.soundcapitalsolutions.com.

$45.45M

Assets Under Management

2

Total Clients

3

Total Financial Advisors

Services Offered

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.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicholas Dalmaso’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Nmn Dalmaso.
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