Nicholas Patrick Smith

Current Employers

Steele Capital Management, Inc.

1000 Jackson Street Suite 201, Dubuque, IA 52001 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2007-05-16

IA RA
APPROVED

Since 2007-05-16

Branch Locations

1000 Jackson Street Suite 201, Dubuque, IA 52001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Steele Capital Management, Inc.	Dubuque	IA	04/2007	Present

04/2007 → Present

Steele Capital Management, Inc.

Dubuque, IA

Other Businesses

Nick Smith Farming; Business is not investment related; Epworth, IA area; sole proprietor as a personal farmer; 40 hours per month; 0 hours during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-05-07

S65 Uniform Investment Adviser Law Examination

2007-05-07

Designations

View on SEC IAPD

Current Employers

Steele Capital Management, Inc.

Disclosures

Employment History

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

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