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Nicholas Agostino

CETERA INVESTMENT ADVISERS LLC
DAVIE, FL
Some features on this profile are disabled
CRD#: 5166683
NA

Professional summary

Nicholas Agostino, CFP®, who also goes by Nicholes J Agostine, Nicholas J Agostino, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Davie, Florida and CETERA WEALTH SERVICES, LLC located in San Diego, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 14 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholes J Agostine | Nicholas J Agostino

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) - RIA

Click below to view Nicholas Agostino'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®
CFP®

Certified Financial Planner

Experience

Current

March 1, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DAVIE, FL
Current

April 23, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101
BD
CRD#: 13572
SAN DIEGO, CA
Current

June 22, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 10358
SAN DIEGO, CA
Current

June 22, 2021 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101
BD
CRD#: 10299
SAN DIEGO, CA
Current

February 8, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 15340
SAN DIEGO, CA
Past

July 2, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

June 22, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
ATLANTA, GA
Past

June 22, 2021 - February 8, 2023

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ATLANTA, GA
Past

March 17, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BOCA RATON, FL
Past

March 24, 2016 - February 8, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ATLANTA, GA
Past

June 12, 2015 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
BOCA RATON, FL
Past

June 8, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

September 12, 2012 - June 3, 2013

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
BOCA RATON, FL
Past

April 3, 2012 - June 3, 2013

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BOCA RATON, FL
Past

June 13, 2011 - January 9, 2012

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
ALBANY, NY
Past

April 6, 2010 - September 30, 2010

AMERICA'S CHOICE EQUITIES LLC

BD
CRD#: 135272
PALM BEACH GARDENS, FL
Past

September 5, 2008 - February 1, 2010

HALLIDAY FINANCIAL, LLC

BD
CRD#: 31741
ALBANY, 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
Florida
(9/3/2019)
IAR
Florida
(4/25/2023)
RR
Georgia
(9/15/2022)
IAR
Georgia
(3/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/20/2016
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/26/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2015
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 105644Davie, FL

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