GN
Gerard J. Nicosia
CETERA INVESTMENT ADVISERS LLC
Hauppauge, NY 11788
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CRD#: 4660302
GN
Professional summary
Gerard John Nicosia is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA WEALTH SERVICES, LLC located in Hauppauge, New York.
Gerard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gerard has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2005; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: EXECUTIVE FINANCIAL & TAX PLANNING SERVICES INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP; START DATE: 11/2013; POSITION/TITLE/RELATIONSHIP: PRESIDENT / ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 75; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS BOTH PERSONAL AND BUSINESSES; 3. NAME OF OTHER BUSINESS: EXECUTIVE FINANCIAL & TAX PLANNING SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP & FINANCIAL SERVICES; START DATE: 01/2015; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 75; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: TAX PREP AND ALL OTHER FINANCIAL ADVISING 4. NAME OF OTHER BUSINESS: EXCEPTIONAL FINANCIAL & TAX PLANNING SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NONE. ACTIVE ENTITY BUT OLD/UNUSED DBA. NOT HELD OUT TO THE PUBLIC; START DATE: 11/2013; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE. ACTIVE ENTITY BUT OLD/UNUSED DBA. NOT HELD OUT TO THE PUBLIC
CRS (Client Relationship Summary) - RIA
Click below to view Gerard John Nicosia'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 150 Motor Pkwy Suite 401, Hauppauge, NY 11788Office #2: 150 Motor Pkwy Suite 401, Hauppauge, NY 11788RIA
CRD#: 105644
Hauppauge, NY
Current
November 15, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 150 Motor Pkwy Suite 401, Hauppauge, NY 11788BD
CRD#: 13572
Hauppauge, NY
Past
November 15, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 19, 2017 - November 17, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HAUPPAUGE, NY
Past
November 6, 2013 - November 17, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
HAUPPAUGE, NY
Past
December 7, 2006 - November 8, 2013
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
HAUPPAUGE, NY
Past
May 14, 2003 - December 7, 2006
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
RONKONKOMA, 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.
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
Connecticut(11/16/2022)
RR
Delaware(7/1/2024)
RR
Florida(11/16/2022)
RR
Georgia(11/18/2022)
RR
Maryland(11/16/2022)
RR
New Jersey(11/21/2022)
RR
New York(11/17/2022)
IAR
New York(6/29/2023)
RR
North Carolina(12/6/2022)
RR
Pennsylvania(11/18/2022)
RR
South Carolina(11/17/2022)
RR
Tennessee(11/16/2022)
RR
Vermont(5/16/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hauppauge, NY 11788TRUST BUT VERIFY
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