RM
Robert J. Mcnicholas
CETERA INVESTMENT ADVISERS LLC
WILLIAMSVILLE, NY 14221
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CRD#: 1566994
RM
Professional summary
Robert Joseph Mcnicholas, who also goes by B J Mcnicholas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA ADVISORS LLC located in Williamsville, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
B J Mcnicholas
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: MCNICHOLAS CAPITAL CORP., INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2002, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2023; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & FIXED ANNUITIES; 3. NAME OF OTHER BUSINESS: MCNICHOLAS CAPITAL CORP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENT COLLECTION; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COLLECT RENT, MAKE A DEPOSIT, & THEN PAY FULL RENT TO OWNER OF BUILDING;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Mcnicholas'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8060 Wehrle Dr, Williamsville, NY 14221RIA
CRD#: 105644
WILLIAMSVILLE, NY
Current
July 11, 2022 - Present
CETERA ADVISORS LLC
Office #1: 8060 Wehrle Dr, Williamsville, NY 14221BD
CRD#: 10299
Williamsville, NY
Past
July 11, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Williamsville, NY
Past
June 1, 2009 - August 10, 2022
SAXONY SECURITIES, INC.
BD
CRD#: 115547
WILLIAMSVILLE, NY
Past
May 29, 2009 - August 10, 2022
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
WILLIAMSVILLE, NY
Past
October 13, 2005 - June 9, 2009
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
February 19, 2002 - June 2, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
WILLIAMSVILLE, NY
Past
December 16, 1987 - February 19, 2002
SECO WEST LIMITED
BD
CRD#: 7637
WILLIAMSVILLE, 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
Connecticut(7/11/2022)
RR
Delaware(2/6/2024)
RR
Florida(7/11/2022)
RR
Georgia(7/11/2022)
RR
Kansas(7/11/2022)
RR
Maryland(7/11/2022)
RR
Massachusetts(7/11/2022)
RR
Mississippi(7/11/2022)
RR
New York(7/11/2022)
IAR
New York(3/21/2024)
RR
North Carolina(8/16/2022)
RR
Ohio(7/12/2022)
RR
Pennsylvania(7/11/2022)
RR
South Carolina(7/11/2022)
RR
Texas(7/11/2022)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Williamsville, NY 14221TRUST BUT VERIFY
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