ND
Nicholas D. Deering
CETERA INVESTMENT ADVISERS LLC
FOND DU LAC, WI 54935
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CRD#: 5183144
ND
Professional summary
Nicholas Daniel Deering, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fond Du Lac, Wisconsin and CETERA FINANCIAL SPECIALISTS LLC located in Fond Du Lac, Wisconsin.
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 9 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: HUBERTY & ASSOCIATES S.C, dba VESTA. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION START DATE: 09/2023, NATURE OF BUSINESS: PUBLIC ACCOUNTING FIRM APX # OF HOURS PER WEEK: 15 APX # OF HOURS DURING TRADING HOURS: 15, POSITION/TITLE/RELATIONSHIP: PART OWNER: GENERAL DUTIES: TAX & ACCOUNTING SERVICES 2) VESTA, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 09/2023, PART OWNER, APX NUMBER OF HOURS PER WEEK: 45, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3) NAME OF OTHER BUSINESS: VESTA CPAS, S.C.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: EXECUTIVE COMMITTEE MEMBER, SHAREHOLDER, SIGNING AUTHORITY, SOME EXPENSE DISCRETION;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Daniel Deering'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®
CFP®
Start date: 2011
Experience
Current
August 17, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 37 North Pioneer Rd, Fond Du Lac, WI 54935Office #2: 825 South Taylor Drive, Sheboygan, WI 53081Office #3: 2829 Eastern Avenue, Plumouth, WI 53073RIA
CRD#: 105644
FOND DU LAC, WI
Current
August 17, 2017 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 37 North Pioneer Rd, Fond Du Lac, WI 54935Office #2: 2923 Marketplace Dr Ste 200, Madison, WI 53719Office #3: 825 South Taylor Drive, Sheboygan, WI 53081BD
CRD#: 10358
FOND DU LAC, WI
Past
August 13, 2014 - August 3, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SHEBOYGAN, WI
Past
August 13, 2014 - August 3, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SHEBOYGAN, WI
Past
January 25, 2013 - August 14, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
SHEBOYGAN, WI
Past
January 25, 2013 - August 14, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
SHEBOYGAN, WI
Past
October 28, 2009 - February 19, 2013
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SHEBOYGAN, WI
Past
October 19, 2009 - February 19, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SHEBOYGAN, WI
Past
October 1, 2009 - October 27, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHEBOYGAN, WI
Past
October 1, 2009 - October 27, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SHEBOYGAN, WI
Past
July 18, 2008 - July 30, 2009
WADDELL & REED
RIA
CRD#: 866
WAUKESHA, WI
Past
July 18, 2008 - July 30, 2009
WADDELL & REED
BD
CRD#: 866
WAUKESHA, WI
Past
April 24, 2008 - June 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BROOKFIELD, WI
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
California(1/24/2022)
RR
Colorado(2/13/2025)
RR
Florida(1/2/2021)
RR
Illinois(11/24/2020)
RR
Kentucky(5/13/2022)
RR
Minnesota(2/10/2025)
RR
Nevada(4/10/2025)
RR
Ohio(7/15/2025)
RR
Washington(10/24/2024)
RR
Wisconsin(8/17/2017)
IAR
Wisconsin(8/17/2017)
Exams
State Security Law 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
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.
