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Nicholas Estey

Goelzer Investment Management

Carmel, IN

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Current Employers
Goelzer Investment Management

10 East Main Street Suite 110, Carmel, IN 46032 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-04-17
TX RA APPROVED_RES 2025-04-05
IN RA APPROVED 2024-01-09
  • MA RA
    APPROVED
    Since 2025-04-17
  • TX RA
    APPROVED_RES
    Since 2025-04-05
  • IN RA
    APPROVED
    Since 2024-01-09

Branch Locations

10 East Main Street Suite 110, Carmel, IN 46032 • 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
OrganizationCityStateFromTo
Mark Wise Indianapolis IN 08/2019 10/2019
Mariner Wealth Advisors Indianapolis IN 01/2019 07/2019
Capitas Financial Indianapolis IN 01/2014 12/2018
Unemployed Indianapolis IN 07/2019 08/2019
Circle City Lacrosse Llc Indianapolis IN 08/2015 Present
The Leaders Group Inc Littleton CO 01/2015 12/2018
Brebeuf Jesuit Indianapolis IN 09/2013 Present
Mark Wise Indianapolis IN 10/2019 10/2020
Northwestern Mutual Investment Services Llc Indianapolis IN 10/2019 10/2020
First Allied Securities, Inc San Diego CA 10/2020 09/2022
First Allied Advisory Services, Inc. Schaumburg IL 01/2022 09/2022
Cetera Advisors Llc Indianapolis IN 09/2022 11/2023
Goelzer Investment Management, Inc. Indianapolis IN 11/2023 Present
  • 08/2019 → 10/2019
    Mark Wise
    Indianapolis, IN
  • 01/2019 → 07/2019
    Mariner Wealth Advisors
    Indianapolis, IN
  • 01/2014 → 12/2018
    Capitas Financial
    Indianapolis, IN
  • 07/2019 → 08/2019
    Unemployed
    Indianapolis, IN
  • 08/2015 → Present
    Circle City Lacrosse Llc
    Indianapolis, IN
  • 01/2015 → 12/2018
    The Leaders Group Inc
    Littleton, CO
  • 09/2013 → Present
    Brebeuf Jesuit
    Indianapolis, IN
  • 10/2019 → 10/2020
    Mark Wise
    Indianapolis, IN
  • 10/2019 → 10/2020
    Indianapolis, IN
  • 10/2020 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 01/2022 → 09/2022
    First Allied Advisory Services, Inc.
    Schaumburg, IL
  • 09/2022 → 11/2023
    Cetera Advisors Llc
    Indianapolis, IN
  • 11/2023 → Present
    Goelzer Investment Management, Inc.
    Indianapolis, IN
Previous Registrations
Other Businesses

1.) CIRCLE CITY LACROSSE LLC; DIRECTOR; START DATE 08/01/2015;80 HOURS PER MONTH. 2.) BREBEUF JESUIT PREPARATORY SCHOOL; HEAD LACROSSE COUCH; EDUCATION/TEACHING; START DATE 09/01/2012; 80 HOURS PER MONTH. 3.)BRUNETTE & ASSOCIATES; RSA; DBA (ONLY OFFERSFIRST ALLIED PRODUCTS/SERVICES; START DATE 10/05/2020; 160 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-24
S63 Uniform Securities Agent State Law Examination 2017-09-11
  • S65 Uniform Investment Adviser Law Examination
    2019-06-24
  • S63 Uniform Securities Agent State Law Examination
    2017-09-11
Designations
Other Names
  • Nicholas Quentin Estey
  • Nick Estey
  • Nick Estey

View on SEC IAPD

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