NG
Nancy R. Gragg
CETERA INVESTMENT ADVISERS LLC
REDONDO BEACH, CA
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CRD#: 1021097
NG
Professional summary
Nancy Remp Gragg, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Redondo Beach, California and CETERA WEALTH SERVICES, LLC located in Redondo Beach, California.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Nancy has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FIXED INSURANCE;
START DATE: 07/06/2016;
APX NUMBER OF HOURS PER WEEK: 4 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG TERM CARE.
2) NAME OF OTHER BUSINESS: ADVANCED PLANNING SOLUTIONS, INC.
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: DBA FOR BROKER-DEALER BUSINESS THROUGH THE FIRM
START DATE: 3/1/2013
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: VARIOUS FINANCIAL SERVICES
3) NAME OF OTHER BUSINESS: ADVANCED PLANNING SOLUTIONS, INC,
INVESTMENT RELATED: NO,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: TRUST FOR RELATIVE,
START DATE: 9/2016,
APX NUMBER OF HOURS PER WEEK: 2,
APX NUMBER OF TRADING HOURS PER WEEK: 2,
POSITION/TITLE/RELATIONSHIP: TRUSTEE,
BRIEF DESCRIPTION OF DUTIES: HELP WITH RELATIVES ACCOUNTS.
4. NAME OF OTHER BUSINESS: TORRANCE MEMORIAL MEDICAL CENTER
INVESTMENT RELATED: NO
ADDRESS: 3330 LOMITA BLVD, TORRANCE, CA 90505
NATURE OF BUSINESS: HOSPITAL
START DATE: 01/2018
POSITION/TITLE/RELATIONSHIP: PROFESSIONAL ADVISORY COUNCIL MEMBER
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY SEMINARS, MAY BE SPEAKER.
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Remp Gragg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
REDONDO BEACH, CA
Current
March 4, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 Ave I Ste 201, Redondo Beach, CA 90277BD
CRD#: 13572
Redondo Beach, CA
Past
March 10, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 29, 2003 - March 4, 2008
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
CORRALES, NM
Past
December 14, 2001 - March 4, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
REDONDO BEACH, CA
Past
January 19, 2000 - March 4, 2008
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
CORRALES, NM
Past
August 15, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 15, 1995 - February 7, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 5, 1992 - August 4, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/4/2008)
RR
California(3/4/2008)
IAR
California(6/29/2023)
RR
Colorado(7/27/2016)
RR
Florida(4/19/2024)
RR
Hawaii(4/19/2024)
RR
Idaho(4/13/2017)
RR
Iowa(7/24/2024)
RR
New Mexico(8/6/2010)
RR
New York(3/4/2008)
RR
Oregon(8/6/2010)
RR
Texas(6/17/2015)
IAR
Texas(6/29/2023)
RR
Utah(8/5/2021)
RR
Washington(7/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
