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Nicole M. Finamore

CRD#: 4349156
Some features on this profile are disabled
NF
Nicole Michelle Finamore

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicole Michelle Finamore, who also goes by Nicole Michelle Franks, Nicole Michelle Gwilliam, Nicole Michelle Gwilliam-bertaud, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2001. Nicole had worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Michelle Franks | Nicole Michelle Gwilliam | Nicole Michelle Gwilliam-Bertaud

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 10, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
FARMINGTON, UT
Past

January 29, 2020 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
FARMINGTON, UT
Past

January 29, 2020 - December 10, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
FARMINGTON, UT
Past

June 28, 2018 - December 31, 2019

WORLD INVESTMENTS, LLC

RIA
CRD#: 20626
NORTH OGDEN, UT
Past

June 28, 2018 - December 31, 2019

WORLD INVESTMENTS, LLC

BD
CRD#: 20626
LINCROFT, NJ
Past

June 28, 2017 - June 29, 2018

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
IRVINE, CA
Past

October 12, 2016 - June 29, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
IRVINE, CA
Past

July 17, 2015 - October 13, 2016

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
COTTONWOOD HEIGHTS, UT
Past

May 13, 2014 - July 6, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
SOUTH OGDEN, UT
Past

October 2, 2012 - March 24, 2014

ADIRONDACK TRADING GROUP LLC

BD
CRD#: 103910
OGDEN, UT
Past

November 10, 2003 - October 1, 2012

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
ODGEN, UT
Past

August 5, 2002 - October 21, 2003

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NO. OGDEN, UT
Past

July 22, 2002 - October 21, 2003

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

July 5, 2001 - July 10, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GLENDALE, CA
Past

March 2, 2001 - July 10, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/1/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/19/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2001
General Securities Representative Examination

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)
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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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
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 INVESTMENT ADVISERS LLC

CRD#: 105644

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