Justina L. Nicholson
Professional summary
Justina Lyn Nicholson, who also goes by Justina K Nicholson, Justina Kyn Nicholson, Justina Lyn Nicholson, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Surprise, Arizona.
Justina is registered as a RR (Registered Representative) and started their career in finance in 2009. Justina has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Justina Lyn Nicholson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12455 W Bell Road, Surprise, AZ 85378November 16, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
March 4, 2019 - November 14, 2022
GRIFFIN CAPITAL SECURITIES, LLC
June 17, 2013 - February 19, 2019
VOYA INVESTMENT MANAGEMENT CO. LLC
June 17, 2013 - February 19, 2019
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 7, 2012 - June 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2012 - June 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2009 - September 4, 2012
1ST GLOBAL ADVISORS INC
March 19, 2009 - September 4, 2012
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
(9/5/2025)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
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Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Surprise, AZ 85378TRUST BUT VERIFY
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