Nicholas Nauta has been an investment adviser representative at Shotwell Rutter Baer since February 2019, and is not listed among the firm’s executive officers or direct owners.
Shotwell Rutter Baer Inc is a Lansing, MI firm with $184M under management, 282 clients and 6 advisers in one office, as of its January 2026 filing.
Nicholas Nauta’s longest registration is the current one, 7 years at Shotwell Rutter Baer since 2019. Before joining Shotwell Rutter Baer in 2019, Nicholas Nauta was registered through Cambridge Investment Research Advisors, Inc. and Cuso Financial Services, L.P.
- Shotwell Rutter Baer IncCurrent– present · 7 yearsLansing, MI · Adviser representative · Firm CRD 122789
- Cambridge Investment Research Advisors, Inc.– · 3 yearsLansing, MI · Adviser representative · Firm CRD 134139
- Cuso Financial Services, L.P.– · 4 yearsSan Diego, CA · Adviser representative · Firm CRD 42132
- Cuna Brokerage Services, Inc.– · 2 yearsLansing, MI · Adviser representative · Firm CRD 13941
- Fifth Third Securities, Inc.– · 2 yearsMason, MI · Adviser representative · Firm CRD 628
Investment adviser representative registrations
Nicholas Nauta is registered as an investment adviser representative in 6 states. The first approvals date from February 2019; the most recent is Florida, in March 2019.
- CaliforniaSince 7 February 2019
- FloridaSince 19 March 2019
- HawaiiSince 7 February 2019
- IndianaSince 7 February 2019
- MichiganSince 7 February 2019
- TexasSince 7 February 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 2 February 2006 |
| Series 66 | Uniform Combined State Law Examination | 11 January 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Full name
- Nicholas Frank Nauta
- CRD
- 5062316
- Firm
- Shotwell Rutter Baer · CRD 122789
- Office
- 6350 WEST MICHIGAN AVENUE, SUITE 200, Lansing, MI 48917
- Registration
- Investment adviser registration
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Nauta work?
Nicholas Nauta is an investment adviser representative registered through Shotwell Rutter Baer Inc since February 2019, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Nauta a financial advisor?
Yes. Nicholas Nauta has a current investment-adviser registration in California, Florida, Hawaii, Indiana, Michigan and Texas, through Shotwell Rutter Baer since February 2019.
How many years of experience does Nicholas Nauta have?
Nicholas Nauta has 20 years in the financial industry, since March 2006, across 5 adviser firms.
What exams has Nicholas Nauta passed?
Nicholas Nauta has passed 2 licensing exams: the Series 66 and Series 7. The earliest, the Series 66, was passed in January 2006. FINRA credited Nicholas Nauta with the SIE, which began in October 2018.
Where did Nicholas Nauta work before Shotwell Rutter Baer?
Before Shotwell Rutter Baer, Nicholas Nauta was registered through Cuso Financial Services, L.P., October 2011 to November 2015; Cuna Brokerage Services, Inc., December 2008 to September 2011; Fifth Third Securities, Inc., October 2006 to December 2008.
Where is Nicholas Nauta based?
Nicholas Nauta’s registered office is in Lansing, MI.
Is Nicholas Nauta registered with FINRA?
No. Nicholas Nauta has no current broker registration.
How can I verify Nicholas Nauta’s record?
Search CRD 5062316 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Nauta’s full registration record.
