Nicholas Cladis has been Manager & Chief Compliance Officer of Cladis Investment Advisory since April 2010, is a control person of the firm and directly owns between 25% and 50% of it. Nicholas Cladis studied at Montana State University Billings.
Cladis Investment Advisory LLC is a Billings, MT firm with $243M under management, 119 clients and 3 advisers in one office, as of its March 2026 filing.
Nick Cladis is a native Montanan with over 50 years of experience in the financial services industry, and part of the team at Cladis Investment Advisory in Billings, Montana. Throughout his career, he has focused on helping high-net-worth individuals and families manage their investment portfolios in support of their long-term financial goals.
Nicholas Cladis’ longest registration is the current one, 16 years at Cladis Investment Advisory since 2010. Before joining Cladis Investment Advisory in 2010, Nicholas Cladis was registered through Capstone Wealth Management and UBS Financial Services Inc.
- – present · 16 yearsBillings, MT · Adviser representative · Firm CRD 153873
- Capstone Wealth Management– · 3 yearsBillings, MT · Adviser representative · Firm CRD 130128
- UBS Financial Services Inc.– · 12 yearsBillings, MT · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Nicholas Cladis is registered as an investment adviser representative in Montana, since May 2010.
- MontanaSince 18 May 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 October 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 June 1987 |
| Series 5 | Interest Rate Options Examination | 26 October 1981 |
| Series 4 | Registered Options Principal Examination | 10 October 1980 |
| PC | AMEX Put and Call Exam | 2 September 1977 |
| Series 40 | Registered Principal Examination | 8 March 1977 |
| Series 12 | NYSE Branch Manager Examination | 28 October 1976 |
| Series 1 | Registered Representative Examination | 16 October 1973 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Interest Rate Options Examination
- Name
- Registered Options Principal Examination
- Name
- AMEX Put and Call Exam
- Name
- Registered Principal Examination
- Name
- NYSE Branch Manager Examination
- Name
- Registered Representative Examination
- Full name
- Nicholas Richard Cladis
- CRD
- 47182
- Firm
- Cladis Investment Advisory · CRD 153873
- Role
- Manager & Chief Compliance Officer
- Office
- 180 S. 32nd Street West, Suite 1, Billings, MT 59102
- Registration
- Investment adviser registration
- In the industry since
- January 1974
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cladisadvisory.com
Where does Nicholas Cladis work?
Nicholas Cladis has been Manager & Chief Compliance Officer of Cladis Investment Advisory LLC since April 2010, and is a control person of the firm.
Is Nicholas Cladis a financial advisor?
Yes. Nicholas Cladis has a current investment-adviser registration in Montana, through Cladis Investment Advisory since May 2010.
How many years of experience does Nicholas Cladis have?
Nicholas Cladis has 52 years in the financial industry, since January 1974, across 3 adviser firms.
What exams has Nicholas Cladis passed?
Nicholas Cladis has passed 8 licensing exams: the Series 1, Series 12, Series 40, PC, Series 4, Series 5, Series 63 and Series 65. The earliest, the Series 1, was passed in October 1973.
Where did Nicholas Cladis work before Cladis Investment Advisory?
Before Cladis Investment Advisory, Nicholas Cladis was registered through UBS Financial Services Inc., October 1994 to November 2006.
Where is Nicholas Cladis based?
Nicholas Cladis’ registered office is in Billings, MT.
Is Nicholas Cladis registered with FINRA?
No. Nicholas Cladis has no current broker registration.
How can I verify Nicholas Cladis’ record?
Search CRD 47182 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Cladis’ full registration record.
