Nicholas C. Ey

CETERA INVESTMENT ADVISERS LLC

HUNT VALLEY, MD 21031

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CRD#: 4121501

Professional summary

Nicholas Charles Ey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hunt Valley, Maryland and CETERA FINANCIAL SPECIALISTS LLC located in Hunt Valley, Maryland.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 13 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 26 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: MATTINGLY WEALTH ADVISORS, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Charles Ey'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

February 18, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 11019 Mccormick Rd Ste 120, Hunt Valley, MD 21031Office #2: 4807 Crain Highway, Upper Marlboro, MD 20772

RIA

CRD#: 105644

HUNT VALLEY, MD

Current

February 18, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 11019 Mccormick Rd Ste 120, Hunt Valley, MD 21031Office #2: 4807 Crain Highway, Upper Marlboro, MD 20772

CRD#: 10358

HUNT VALLEY, MD

Past

February 17, 2021 - February 22, 2022

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

February 17, 2021 - February 22, 2022

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BALTIMORE, MD

Past

October 12, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

October 11, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

May 16, 2016 - August 15, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BALTIMORE, MD

Past

May 13, 2016 - August 15, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

BALTIMORE, MD

Past

February 6, 2013 - June 16, 2014

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BEL AIR, MD

Past

January 24, 2013 - June 16, 2014

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BEL AIR, MD

Past

January 15, 2008 - January 9, 2013

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

December 8, 2006 - April 16, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

TIMONIUM, MD

Past

December 8, 2006 - April 16, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

TIMONIUM, MD

Past

June 17, 2003 - November 30, 2006

M&T SECURITIES, INC.

RIA

CRD#: 17358

TIMONIUM, MD

Past

May 1, 2003 - November 30, 2006

M&T SECURITIES, INC.

CRD#: 17358

TIMONIUM, MD

Past

March 28, 2003 - August 2, 2006

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

RIA

CRD#: 106909

BALTIMORE, MD

Past

April 18, 2001 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

Past

March 13, 2000 - April 9, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Delaware
(7/18/2023)

Florida
(3/21/2022)

Georgia
(3/10/2022)

Maryland
(2/18/2022)

IAR

Maryland
(2/18/2022)

North Carolina
(3/21/2022)

South Carolina
(8/30/2023)

Virginia
(3/28/2022)

Washington
(5/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/4/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/30/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/28/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Nicholas C. Ey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Charles Ey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TRANSAMERICA CAPITAL, LLC

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

M&T SECURITIES, INC.

M&T SECURITIES, INC.

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

ALLFIRST BROKERAGE CORPORATION

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/4/2013

Series 66

Date: 3/30/2000

SIE

Date: 8/15/2018

Series 7

Date: 3/10/2000

Series 26

Date: 2/28/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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