Nicholas A. Sutton

CETERA INVESTMENT ADVISERS LLC

DALY CITY, CA 94015

Some features on this profile are disabled

CRD#: 4557788

Professional summary

Nicholas Anthony Sutton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Daly City, California and CETERA FINANCIAL SPECIALISTS LLC located in Daly City, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nicholas has worked at 6 firms and has passed the Series 66, SIE and Series 7 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: SUTTON FINANCIAL ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PREP AND ADVICE START DATE: 01/2003 ; POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 60 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: TAX PREP AND ADVICE, LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS ; 2) EDWARD J. SUTTON; CA; NOT INV REL; TAX PREPARER; TAX PREP, CONSULTING, TAX RETURNS; SINCE 01/2003; 40 HRS/WK: 3) VETERANS OF FOREIGN WARS; NOT INVESTMENT RELATED; 406 WEST 34TH STREET, KANSAS CITY, MO 64111; NON-PROFIT ORGANIZATION; START 7/31/14; ADJUTANT OFFICER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Sutton'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

July 2, 2004 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 333 Gellert Blvd Suite 247, Daly City, CA 94015

RIA

CRD#: 105644

DALY CITY, CA

Current

June 30, 2004 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 333 Gellert Blvd Suite 247, Daly City, CA 94015

CRD#: 10358

Daly City, CA

Past

May 15, 2003 - July 2, 2004

HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.

RIA

CRD#: 105560

SAN FRANCISCO, CA

Past

May 15, 2003 - June 30, 2004

HOCHMAN & BAKER SECURITIES, INC.

CRD#: 19949

STAMFORD, CT

Past

October 11, 2002 - February 14, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN MATEO, CA

Past

October 11, 2002 - February 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 21, 2002 - September 18, 2002

WADDELL & REED

RIA

CRD#: 866

SAN MATEO, CA

Past

August 2, 2002 - September 18, 2002

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Arizona
(8/31/2015)

Arkansas
(7/22/2021)

California
(6/30/2004)

IAR

California
(7/2/2004)

Hawaii
(9/10/2024)

Nevada
(10/22/2012)

New York
(8/17/2007)

Oregon
(9/19/2017)

Washington
(7/17/2008)

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 66

Date: 8/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas A. Sutton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Sutton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.

HOCHMAN & BAKER SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/1/2002

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

Similar Advisors