NC
Nicholas J. Casagrande
CETERA INVESTMENT ADVISERS LLC
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 4288486
NC
Professional summary
Nicholas John Casagrande, who also goes by Nicholas J Casagrande, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Francisco, California and CETERA FINANCIAL SPECIALISTS LLC located in Corte Madera, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nicholas has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas J Casagrande
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)DEPARTMENT OF REAL ESTATE; NOT INV REL; SAN FRANCISCO, CA; REAL ESTATE SALESMAN; 1-2 HRS/WK: 2) NOTARY FOR STATE OF CA; NOT INV REL; SAN FRANCISCO, CA; SINCE 1/1/08; 1-2 HRS/WK; ONCALL NOTARY BUSINESS: 3) STAXCLINIC; NOT INV REL; SAN RAFAEL, CA; TAXES WITH POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS; PARTNER; START DATE 1/1/11; 40 HRS/MTH, 6 DURING SECURITIES TRADING HRS: 4) NICHOLAS CASAGRANDE; INV REL; ADDRESS IS THE REGISTERED LOCATION; HEALTH INS WITH ANTHEM AND BLUE SHIELD OF CALIFORNIA; START DATE 05/15; 3 HRS/WEEK, VARIES DURING AND AFTER SECURITIES TRADING HRS: 5)NAME OF OTHER BUSINESS: NC FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL, TAX, PAYROLL, REAL ESTATE, TAX ID & INSURANCE ; POSITION/TITLE/RELATIONSHIP: OWNER ; START: 3/2018 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 DUTIES: ALL DUTIES INCLUDING POA FOR IRS AND OTHER TAX MATTERS ; 6) NAME OF OTHER BUSINESS: PROACTIVE TAX SOLUTIONS INVESTMENT RELATED: NO ADDRESS: 5768 PARADISE DRIVE, CORTE MADERA, CA 94925 ; NATURE OF BUSINESS: TAX PRACTICE ; START: 10/2020 ; POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; DUTIES:TAX PREPARATION AND REPRESENTATION 7)NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: REAL ESTATE ; START: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; DUTIES: PURCHASE OF A VACANT LOT ACROSS THE STREET FROM THE OFFICE ; 8) NAME OF OTHER BUSINESS: BOTTLE DIPLOMACY ; INVESTMENT RELATED: NO; ADDRESS: 5643 PARADISE DRIVE SUITE 8 CORTE MADERA, CA 94925 ; NATURE OF BUSINESS: RENTAL ; START: 9/2021 ; POSITION/TITLE/RELATIONSHIP: OFFICE OWNER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; DUTIES: RENTING OUT WALL SPACE FOR LICENSE DISPLAY ; 9) NAME OF OTHER BUSINESS: PIDGEON POINT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LLC TO PURCHASE COMMERCIAL PROPERTIES; START: 05/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3; DUTIES: OWNER/PRESIDENT MANAGE COMMERCIAL PROPERTY; 10) NAME OF OTHER BUSINESS: MENDOCINO BARKERY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PET STORE; START: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; DUTIES: OWNER - RESPONSIBLE FOR PROFIT AND LOSSES 11) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 5649 PARADISE DRIVE STE 4, CORTE MADERA, CA, 94925, NATURE OF BUSINESS: BUSINESS RENTAL, START: 12/2022, POSITION/TITLE/RELATIONSHIP: LANDLORD AND BROKER, LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS DUTIES: LANDLORD AND BROKER, LEASING TO A BEATY SALON; 12) NAME OF OTHER BUSINESS: NC FINANCIAL GROUP - A WEALTH MANAGEMENT COMPANY, ; NC FINANCIAL GROUP - WEALTH MANAGEMENT, INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL, TAX, PAYROLL, REAL ESTATE, TAX ID & INSURANCE ; POSITION/TITLE/RELATIONSHIP: OWNER ; START: 10/2024 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 B DUTIES: DBAS FOR MARKETING; 13) NAME OF OTHER BUSINESS: MENDOCINO BALLET; INVESTMENT RELATED: NO; ADDRESS: 205 SOUTH STATE ST, UKIAH, CA 95482; NATURE OF BUSINESS: BOARD; START: 11/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER TREASURER; APX # OF HRS/WK & DUR TRD HRS: 3; DUTIES: WORK WITH DIRECTOR & BOOKKEEPER ON ANNUAL BUDGET & FUNDRAISE, ASSIST WITH BOOKKEEPING;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas John Casagrande'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
February 8, 2011 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 22 Battery St #401, San Francisco, CA 94111Office #2: 675 South Main Street, Willits, CA 95490Office #3: 207 W Stephenson St, Ukiah, CA 95482Office #4: 233 Tamalpais Dr Ste 200, Corte Madera, CA 94925RIA
CRD#: 105644
SAN FRANCISCO, CA
Current
October 18, 2010 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 233 Tamalpais Dr Ste 200, Corte Madera, CA 94925Office #2: 22 Battery St #401, San Francisco, CA 94111Office #3: 675 South Main Street, Willits, CA 95490Office #4: 207 W Stephenson St, Ukiah, CA 95482BD
CRD#: 10358
Corte Madera, CA
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
Alaska(2/10/2021)
RR
Arizona(8/13/2014)
RR
California(1/18/2011)
IAR
California(2/8/2011)
RR
Colorado(7/11/2011)
RR
Connecticut(1/4/2018)
RR
Florida(2/6/2012)
RR
Georgia(6/20/2018)
RR
Hawaii(2/17/2012)
RR
Idaho(2/6/2018)
RR
Illinois(1/5/2013)
RR
Indiana(10/13/2020)
RR
Kentucky(9/2/2020)
RR
Louisiana(7/17/2017)
RR
Maine(10/25/2021)
RR
Maryland(2/16/2022)
RR
Massachusetts(1/17/2018)
RR
Michigan(3/14/2018)
RR
Minnesota(6/8/2020)
RR
Missouri(11/16/2020)
RR
Montana(5/29/2020)
RR
Nevada(5/22/2014)
RR
New Jersey(2/16/2024)
RR
New Mexico(3/22/2011)
RR
New York(9/9/2014)
RR
North Carolina(2/19/2015)
RR
Ohio(8/13/2014)
RR
Oklahoma(11/16/2020)
RR
Oregon(7/29/2015)
RR
Pennsylvania(2/26/2018)
RR
South Carolina(10/19/2020)
RR
South Dakota(4/12/2019)
RR
Tennessee(5/19/2022)
RR
Texas(3/2/2011)
IAR
Texas(11/13/2014)
RR
Utah(9/26/2024)
RR
Vermont(10/23/2024)
RR
Virginia(9/26/2024)
RR
Washington(1/24/2011)
RR
West Virginia(8/3/2023)
RR
Wisconsin(9/30/2014)
Exams
State Security Law Exam
State Security Law 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
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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.
