Nicholas J. Tzoumas

CETERA INVESTMENT ADVISERS LLC

MONTVALE, NJ 07645

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CRD#: 4274411

Professional summary

Nicholas John Tzoumas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Montvale, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Old Brookeville, New York.

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 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) CLEARSCOPEWEALTH; OLD BROOKVILLE, NY; INVESTMENT RELATED; WEALTH MANAGEMENT; SINCE 09/2020; OWNER; 120 HRS/MO 2) CLEARSCOPE SERVICES DBA CLEARSCOPEHR; OLD BROOKVILLE, NY; INVESTMENT RELATED; FIXED INSURANCE; HR CONSULTING/RETIREMENT TPA SERVICES; FIXED INSURANCE; SINCE 08/2008; 40 HRS/MO 3) B & CO LONG ISLAND INC.; OLD BROOKVILLE, NY; INVESTMENT RELATED; FIXED INSURANCE; OWNER; SINCE 09/2021; 8 HRS/MO 4) BENEFITS & CO, INC.; WESTON, FL; INVESTMENT RELATED; FIXED INSURANCE; OWNER; SINCE 09/2021; 8 HRS/MO 5) CLEARSCOPE TAX 1 DBA ARTHUR SISCO & ASSOCIATES; HILLSDALE, NJ; NON-INVESTMENT RELATED; TAX/ACCOUNTING/BOOKEEPING; PAYROLL; OWNER; SINCE 08/2022; 8 HRS/MO 6) ARCHANGEL MICHAEL CHURCH; PORT WASHINGTON, NY; NON-INVESTMENT RELATED; TREASURER; SICNE 01/2019; 4 HRS/MO,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Tzoumas'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

January 24, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 50 Chestnut Ridge Road Suite 124, Montvale, NJ 07645

RIA

CRD#: 105644

MONTVALE, NJ

Current

January 24, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 333 Glen Head Rd Ste 190, Old Brookeville, NY 11545

CRD#: 10358

Old Brookeville, NY

Past

November 2, 2018 - January 26, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BROOKVILLE, NY

Past

November 2, 2018 - January 26, 2023

OSAIC WEALTH, INC.

CRD#: 23131

BROOKVILLE, NY

Past

March 5, 2014 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BROOKVILLE, NY

Past

August 16, 2013 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

BROOKVILLE, NY

Past

March 8, 2011 - August 14, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

WOODBURY, NY

Past

August 13, 2008 - February 23, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

GARDEN CITY, NY

Past

October 23, 2000 - August 6, 2008

PRUCO SECURITIES, LLC.

CRD#: 5685

MELVILLE, NY

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

Florida
(1/24/2023)

New Jersey
(1/24/2023)

New York
(1/24/2023)

IAR

New York
(1/24/2023)

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: 12/18/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/19/2003

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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Nicholas J. Tzoumas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Tzoumas's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2001

Series 63

Date: 10/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2002

Series 6

Date: 10/20/2000

Series 26

Date: 11/19/2003

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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