SM
Shawn P. Millerick
CETERA INVESTMENT ADVISERS LLC
CONCORD, NH 03301
Some features on this profile are disabled
CRD#: 1998828
SM
Professional summary
Shawn Patrick Millerick Sr, who also goes by Shawn Patrick Millerick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, New Hampshire and CETERA WEALTH SERVICES, LLC located in Littleton, New Hampshire.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Shawn has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Patrick Millerick
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: 11/2021 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: MILLERICK & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 10/2016 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: OFFER FIXED INSURANCE; 3. NAME OF OTHER BUSINESS: CETERA WEALTH PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023;, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: NEXT LEVEL LIVING; INVESTMENT RELATED: NO; ADDRESS: 3 NORTH STATE STREET CONCORD, NH 03301; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/ TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: WILL PROVIDE OVERSIGHT ON THE ORGANIZATIONS FINANCES, BUDGETING, PLANNING, COMPLIANCE AND GOVERNANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Patrick Millerick Sr'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 Loudon Road Suite 403, Concord, NH 03301Office #2: 111 Saranac St Ste 130, Littleton, NH 03561Office #3: 23 Bridgton Road Suite 102, Westbrook, ME 04092RIA
CRD#: 105644
CONCORD, NH
Current
November 15, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 111 Saranac St Ste 130, Littleton, NH 03561Office #2: 23 Bridgton Road Suite 102, Westbrook, ME 04092Office #3: 6 Loudon Road Suite 403, Concord, NH 03301BD
CRD#: 13572
LITTLETON, NH
Past
November 15, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Littleton, NH
Past
January 3, 2011 - November 18, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CONCORD, NH
Past
January 3, 2011 - November 18, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CONCORD, NH
Past
July 5, 2000 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
CONCORD, NH
Past
August 4, 1998 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
CONCORD, NH
Past
July 15, 1998 - September 25, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
November 13, 1997 - January 22, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 13, 1997 - January 22, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(9/24/2024)
RR
Arkansas(5/27/2025)
RR
California(11/15/2021)
RR
Colorado(11/28/2023)
RR
Connecticut(11/15/2021)
RR
Florida(11/15/2021)
RR
Georgia(11/15/2021)
RR
Hawaii(11/15/2021)
RR
Maine(11/15/2021)
IAR
Maine(6/17/2025)
RR
Maryland(1/3/2023)
RR
Massachusetts(11/15/2021)
RR
Michigan(11/15/2021)
RR
Minnesota(6/10/2025)
RR
New Hampshire(11/15/2021)
IAR
New Hampshire(6/29/2023)
RR
New Jersey(11/15/2021)
RR
New York(11/15/2021)
RR
North Carolina(11/15/2021)
RR
Ohio(3/27/2025)
RR
Oregon(6/20/2025)
RR
Rhode Island(11/15/2021)
RR
South Carolina(8/17/2023)
RR
Texas(6/10/2025)
IAR
Texas(6/11/2025)
RR
Utah(4/21/2023)
RR
Vermont(8/17/2023)
RR
Virginia(8/17/2023)
RR
Washington(3/30/2023)
RR
Wisconsin(2/1/2022)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 105644Concord, NH 03301TRUST BUT VERIFY
Monitor Shawn Millerick
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
