NB
Nicholas M. Benevento
CETERA INVESTMENT ADVISERS LLC
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 4143072
NB
Professional summary
Nicholas Marino Benevento, who also goes by Nicholas Benevento, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Red Bank, New Jersey and CETERA ADVISORS LLC located in Red Bank, New Jersey.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Benevento
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, LIFE/HEALTH/DISABILITY/ ANNUITIES/LONG-TERM CARE. 2. HUDSON WEALTH MANAGEMENT, 30 BROAD ST STE 2 RED BANK NJ 07701, DBA FOR FIXED INSURANCE SALES, CLIENT ACCOUNT MANAGEMENT/SERVICES, START 01/31/07, 11HR/WK. 3. NAME OF OTHER BUSINESS: NICHOLAS BENEVENTO; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 04/2016; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC - AS NEEDED BASIS. 4. N/A, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TESTAMENTARY TRUSTS, STARTED 02/2021, TRUSTEE, NOT CURRENTLY ACTING, BRIEF DESCRIPTION OF DUTIES: NAMED TRUSTEE OF TESTAMENTARY TRUSTS FOR 2 CLIENT'S CHILDREN; 5. N/A, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TESTAMENTARY TRUSTS, STARTED 11/2021, TRUSTEE, NOT CURRENTLY ACTING, BRIEF DESCRIPTION OF DUTIES: NAMED TRUSTEE OF TESTAMENTARY TRUSTS FOR A CLIENT'S CHILDREN; 6. NAME OF OTHER BUSINESS: WALTER K. DOYLE FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 59 ELY COURT STATEN ISLAND, NY 10312; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 1-3; APX NUMBER OF HOURS DURING TRADING HOURS: 1-3; BRIEF DESCRIPTION OF DUTIES: HOLD MEETINGS, TAKE NOTES, DOCUMENT MEETINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Marino Benevento'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: 30 Broad Street Ste. 2, Red Bank, NJ 07701RIA
CRD#: 105644
RED BANK, NJ
Current
January 5, 2005 - Present
CETERA ADVISORS LLC
Office #1: 30 Broad Street Ste. 2, Red Bank, NJ 07701BD
CRD#: 10299
Red Bank, NJ
Past
May 4, 2011 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
ISELIN, NJ
Past
January 21, 2004 - January 6, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
September 22, 2000 - January 21, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 22, 2000 - January 21, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
California(4/27/2006)
RR
Connecticut(4/27/2006)
RR
Florida(4/27/2006)
RR
Nevada(11/15/2012)
RR
New Jersey(1/5/2005)
IAR
New Jersey(3/21/2024)
RR
New York(1/5/2005)
IAR
New York(3/21/2024)
RR
Pennsylvania(4/27/2006)
RR
South Carolina(6/21/2021)
RR
Tennessee(1/4/2007)
RR
Virginia(7/23/2014)
Exams
State Security Law Exam
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
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.
