Nicholas Whitmer has been an investment adviser representative at Guidance Capital since October 2022, and is not listed among the firm’s executive officers or direct owners.
Guidance Capital, Inc. is a Louisville, KY firm with $450M under management, 759 clients and 7 advisers in one office, as of its April 2026 filing.
Nicholas Whitmer’s longest registration was 4 years at Argi Investment Services, LLC (2017–2022). Before joining Guidance Capital in 2022, Nicholas Whitmer was registered through Money Concepts Advisory Service and Argi Investment Services, LLC.
- Dmlo Wealth Planning, LLCAlso current– present · 3 yearsLouisville, KY · Adviser representative · Firm CRD 316202
- Guidance Capital, Inc.Current– present · 3 yearsLouisville, KY · Adviser representative · Firm CRD 323541
- Money Concepts Advisory Service– · under a yearLouisville, KY · Adviser representative · Firm CRD 12963
- Argi Investment Services, LLC– · 4 yearsLouisville, KY · Adviser representative · Firm CRD 151916
Investment adviser representative registrations
Nicholas Whitmer is registered as an investment adviser representative in Kentucky, since October 2022.
- KentuckySince 28 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 July 2017 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 December 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 29 August 2013 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Nicholas Edward Whitmer
- CRD
- 6236559
- Firm
- Guidance Capital · CRD 323541
- Office
- 2020 HIGH WICKHAM PLACE, SUITE 200, Louisville, KY 40245
- Registration
- Investment adviser registration
- In the industry since
- November 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Whitmer work?
Nicholas Whitmer is an investment adviser representative registered through Guidance Capital, Inc. since October 2022, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Whitmer a financial advisor?
Yes. Nicholas Whitmer has a current investment-adviser registration in Kentucky, through Guidance Capital since October 2022.
How many years of experience does Nicholas Whitmer have?
Nicholas Whitmer has 12 years in the financial industry, since November 2013, across 4 adviser firms.
What exams has Nicholas Whitmer passed?
Nicholas Whitmer has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in August 2013. FINRA credited Nicholas Whitmer with the SIE, which began in October 2018.
Where did Nicholas Whitmer work before Guidance Capital?
Before Guidance Capital, Nicholas Whitmer was registered through Argi Investment Services, LLC, July 2017 to March 2022.
Where is Nicholas Whitmer based?
Nicholas Whitmer’s registered office is in Louisville, KY.
Is Nicholas Whitmer registered with FINRA?
No. Nicholas Whitmer has no current broker registration.
How can I verify Nicholas Whitmer’s record?
Search CRD 6236559 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Whitmer’s full registration record.
