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RIA / WealthAdvisorCertified Financial Planner13 years in industry

Nicholas Estey

Advisor at GOELZER INVESTMENT MANAGEMENT

CARMEL, IN

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Search this name across graphsid dfx:ria:b775014f-9490-c899-de5e-8ee0409a376b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 24, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GOELZER INVESTMENT MANAGEMENT
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Sep 11, 2017
First registration: Jun 24, 2019
Dual registered: no
Other names: NICHOLAS QUENTIN ESTEY|Nick Estey|Nick Estey
IAPD individual key: 5983394

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GOELZER INVESTMENT MANAGEMENT	Mixed wealth	Jan 9, 2024	n/a	yes	CARMEL, IN	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 20, 2022	Nov 3, 2023	no	INDIANAPOLIS, IN	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Oct 15, 2019	Sep 12, 2020	no	INDIANAPOLIS, IN	Previous registration
Mariner	Bd affiliated wealth	Jun 24, 2019	Jul 11, 2019	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	GOELZER INVESTMENT MANAGEMENT	Nov 3, 2023	Jan 9, 2024	67	Firm change	Ibd to RIA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	CETERA INVESTMENT ADVISERS LLC	Sep 12, 2020	Jan 20, 2022	495	Firm change after gap	Other
Mariner	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jul 11, 2019	Oct 15, 2019	96	Firm change	Other

Relationships

Registered with (4)

→ GOELZER INVESTMENT MANAGEMENTRegistered adviserregistration: current employment
Jan 9, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 20, 2022 to Nov 3, 2023factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Oct 15, 2019 to Sep 12, 2020factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Jun 24, 2019 to Jul 11, 2019factForm ADV

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
Nicholas Estey left Cetera Investment Advisers Llc for Goelzer Investment Management (registered 2024-01-09)
Form ADVobserved 5 days ago