Phyllis A. Nye
CETERA INVESTMENT ADVISERS LLC
SHIPPENSBURG, PA 17257
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CRD#: 1967359
Professional summary
Phyllis Ann Nye, CFP®, who also goes by Phyllis Ann Shields, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shippensburg, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Mercersburg, Pennsylvania.
Phyllis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Phyllis has worked at 5 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Retirement Planning
Estate Planning
Insurance Planning
Investment Planning
Retirement Income Management
Education Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Phyllis Ann Shields
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INV RELATED: YES, ADDRESS: SAME AS REGISTERED OFFICE, LIFE, ANNUITIES AND LTC, REPRESENTATIVE, START: 5/2003, APX # OF HRS/WK: 40, DUTIES: SALES & SERVICE; 2) ORRSTOWN BANK DBA ORRSTOWN FINANCIAL ADVISORS, INV RELATED: YES, SAME AS REGISTERED LOCATION, FINANCIAL INSTITUTION, REGISTERED REP, START: 5/2003, APX # OF HRS PER WK: 40, RESPONSIBLE FOR NEW BUSINESS DEVELOPMENT, ADMIN OF VARIOUS TYPES OF TRUST ACCOUNTS, ADMINISTERS THE SETTLEMENT OF ESTATES - I AM NOT INVOLVED WITH THE INVESTMENT RECOMMENDATIONS TO AND OR EXECUTIONS OF SECURITIES TRANSACTIONS FOR THE INSTITUTIONS TRUST DEPARTMENT; 3) PHYLLIS NYE, INV RELATED: NO, 11 WALNUT BOTTOM ROAD, SHIPPENSBURG, PA 17257, RENTAL PROPERTY, OWNER, START: 5/2003, APX # OF HRS PER WK: 0-1, MAINTENANCE; 4) NAME OF OTHER BUSINESS: DEEP CREEK RETREAT, LLC, INVESTMENT RELATED: NO, 700 E KING, SHIPPENSBURG, PA, NATURE OF BUSINESS: VACATION PROPERTY, TITLE: OWNER, START: 12/2006, APX # OF HRS PER MONTH: 0-1, UTIES: MANAGEMENT; 5) NAME OF OTHER BUSINESS: H&H CHEVROLET AND CADILLAC, INV RELATED: NO, 730 E KING ST. SHIPPENSBURG, PA 17257, NATURE OF BUSINESS: CAR DEALERSHIP, TITLE: CONSULTANT, APX # OF HRS/MONTH: 20, DUTIES: EDITING MEMOS/ LETTERS, CONSULTING; 6) NAME OF OTHER BUSINESS: SHIPPENSBURG TOWNSHIP, INV RELATED: NO, 15 WALNUT BOTTOM ROAD, SHIPPENSBURG, PA 17257, NATURE OF BUSINESS: TOWNSHIP, TITLE: AUDITOR, START: 1999, APX # OF HRS/YR: 10-15, DUTIES: REV BOOKS AND RECORDS; 7) NAME OF OTHER BUSINESS: OUR LADY OF THE VISITATION - FINANCE COMMITTEE; INV RELATED: NO; 305 N. PRINCE ST., SHIPPENSBURG, PA 17257 NATURE OF BUSINESS: CHURCH; START: 8/2014; TITLE: FINANCE COMMITTEE MEMBER; APX # OF HRS/WK: LESS THAN 1; DUTIES: ADVISE PRIEST ON FINANCIAL MATTERS RELATING TO THE CHURCH, SIT IN ON MONTHLY MEETINGS, PARTICIPATE IN CONVERSATIONS; 8) NAME OF OTHER BUSINESS: SUMMIT HEALTH FOUNDATION BOARD ; INV RELATED: NO ; 112 N. 7TH ST CHAMBERSBURG, PA 17201 ; NATURE OF BUSINESS: NON PROFIT ; START: 01/2025; TITLE: VICE PRESIDENT ; APX # OF HRS/WK: .5 ; DUTIES: WORK WITH PRESIDENT TO FACILITATE FOUNDATION MISSION, ADVISE ON FUND RAISING AND USEAGE OF FUNDS FOR LOCAL PURPOSES, HELP RUN MEETINGS; 9)NAME OF OTHER BUSINESS: CUMBERLAND COUNTY LAND PRESERVATION ; INVESTMENT RELATED: NO; 310 ALLN ROAD CARLISLE, PA 17013; NATURE OF BUSINESS: PRESERVATION BOARD ; START: 1/2022 ; TITLE: BOARD MEMBER; APX # OF HRS/WK: VARIES ; REVIEW APPLICATIONS TO ADD TO LIST, ATTEND MEETINGS ; 10) NAME OF OTHER BUSINESS: W. MICKEY NYE & PHYLLIS NYE, INVESTMENT RELATED: NO, ADDRESS: 220 TIMOTHY LANE, SHIPPENSBURG. PA, NATURE OF BUSINESS: REAL ESTATE, START: 12/2022, TITLE: PART OWNER, LESS THAN 1 HR/WK, NOT DURING TRADING HRS, DUTIES: COLLECT RENT AND MAINTAIN PROPERTY; 11) NAME OF OTHER BUSINESS: H & H CHEVROLET & CADILLAC BOARD; NOT INV RLTD; 730 E KING ST, SHIPPENSBURG, PA 17257; NATURE OF BUSINESS: BOARD; START: 12/2022 TITLE: VICE PRESIDENT; APX # OF HRS/WK & Trading HRS: LESS THAN 1; DUTIES: LISTEN TO DISCUSSIONS & PROVIDE FEEDBACK ON TOPICS PRESENTED;
CRS (Client Relationship Summary) - RIA
Click below to view Phyllis Ann Nye'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®
CFP®
Start date: 2002
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 77 East King St, Shippensburg, PA 17257Office #2: 12 S Main Street, Mercersburg, PA 17236Office #3: 121 Lurgan Ave, Shippensburg, PA 17257RIA
CRD#: 105644
SHIPPENSBURG, PA
Current
May 6, 2003 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12 S Main Street, Mercersburg, PA 17236Office #2: 121 Lurgan Ave, Shippensburg, PA 17257Office #3: 77 East King St, Shippensburg, PA 17257BD
CRD#: 13572
Mercersburg, PA
Past
January 8, 2007 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHAMBERSBURG, PA
Past
August 31, 1994 - April 30, 2003
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
Past
January 30, 1993 - September 1, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 12, 1991 - January 18, 1993
MERIDIAN SECURITIES, INC.
BD
CRD#: 16468
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
Alabama(1/4/2023)
RR
Arizona(1/18/2017)
RR
California(1/14/2008)
RR
Colorado(1/3/2018)
RR
Delaware(2/17/2021)
RR
Florida(4/2/2015)
RR
Georgia(1/3/2022)
RR
Maine(6/19/2014)
RR
Maryland(1/4/2010)
RR
Minnesota(2/22/2024)
RR
New Hampshire(4/29/2021)
RR
New Jersey(4/29/2021)
RR
New Mexico(10/16/2019)
RR
North Carolina(5/25/2021)
RR
Ohio(1/4/2011)
RR
Oklahoma(1/2/2013)
RR
Oregon(1/4/2023)
RR
Pennsylvania(5/6/2003)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(2/6/2015)
RR
Texas(4/24/2017)
IAR
Texas(6/29/2023)
RR
Virginia(3/22/2005)
RR
Washington(3/17/2023)
RR
West Virginia(1/2/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
