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Nicole A. Sheehan

CETERA INVESTMENT SERVICES LLC
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 3262672
NS

Professional summary

Nicole Andreana Sheehan, who also goes by Nicole Andreana Sheehan, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicole has worked at 16 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Andreana Sheehan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Andreana Sheehan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 27, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
BD
CRD#: 15340
Atlanta, GA
Current

October 27, 2015 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339Office #2: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
BD
CRD#: 13572
Atlanta, GA
Current

October 27, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
BD
CRD#: 10358
Atlanta, GA
Current

October 27, 2015 - Present

CETERA ADVISORS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
BD
CRD#: 10299
Atlanta, GA
Past

April 28, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
ATLANTA, GA
Past

October 27, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
Atlanta, GA
Past

October 27, 2015 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
ATLANTA, GA
Past

October 27, 2015 - December 14, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
Atlanta, GA
Past

October 27, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
ATLANTA, GA
Past

October 27, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
ATLANTA, GA
Past

October 27, 2015 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
ATLANTA, GA
Past

January 6, 2012 - April 29, 2015

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

August 16, 2011 - December 8, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

May 9, 2011 - August 12, 2011

SCOTTRADE, INC.

BD
CRD#: 8206
RANCHO CUCAMONGA, CA
Past

November 13, 2008 - August 27, 2010

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
LAKE MARY, FL
Past

January 6, 2000 - July 27, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Georgia
(10/28/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/10/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
FRIES, MATTHEW NEIL KALANIVICE PRESIDENT2723824
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event14
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2023
Cover Page
Report

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 ADVISORS LLC

CRD#: 10299Atlanta, GA 30339

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