NM
Nicole M. Miller
CETERA INVESTMENT ADVISERS LLC
ST CLOUD, MN 56301
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CRD#: 5204290
NM
Professional summary
Nicole Marie Miller, who also goes by Nicole Marie Balko, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nicole has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Marie Balko
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.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Marie Miller'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
December 13, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 1st Street S Ste 300, St Cloud, MN 56301RIA
CRD#: 105644
ST CLOUD, MN
Current
December 13, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301Office #2: 7 Purves Street Suite 18, East Longmeadow, MA 01028Office #3: 1129 Park West Blvd, Mt Pleasant, SC 29464Office #4: 250 E Chestnut Street, Mifflinburg, PA 17844Office #5: 605 W Central Entrance, Duluth, MN 55811Office #6: 200 S Main St, Mcpherson, KS 67460Office #7: 601 E 30th, Hutchinson, KS 67502Office #8: 215 S Main St, Inman, KS 67546Office #9: 1905 S Kansas Ave, Newton, KS 67114Office #10: 101 E Main St, Lyons, KS 67554Office #11: 310 Main St, Little River, KS 67457Office #12: 211 E Santa Fe St, Ellinwood, KS 66061Office #13: 2220 Broadway Ave, Great Bend, KS 67530BD
CRD#: 15340
St Cloud, MN
Past
March 18, 2019 - November 21, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
AVON, MN
Past
March 18, 2019 - November 21, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
AVON, MN
Past
September 14, 2018 - March 27, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
AVON, MN
Past
September 14, 2018 - March 27, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
AVON, MN
Past
January 21, 2014 - September 17, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ST CLOUD, MN
Past
April 10, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ST CLOUD, MN
Past
April 25, 2012 - February 12, 2013
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SAINT CLOUD, MN
Past
October 29, 2010 - February 12, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
SAINT CLOUD, MN
Past
October 27, 2010 - February 12, 2013
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAINT CLOUD, MN
Past
April 21, 2010 - September 17, 2018
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST CLOUD, MN
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
Alabama(4/1/2022)
RR
Alaska(4/1/2022)
RR
Arizona(4/1/2022)
RR
Arkansas(4/1/2022)
RR
California(4/1/2022)
RR
Colorado(4/1/2022)
RR
Connecticut(4/1/2022)
RR
Delaware(4/1/2022)
RR
District of Columbia(4/1/2022)
RR
Florida(4/1/2022)
RR
Georgia(4/1/2022)
RR
Hawaii(4/1/2022)
RR
Idaho(4/1/2022)
RR
Illinois(4/1/2022)
RR
Indiana(4/1/2022)
RR
Iowa(4/1/2022)
RR
Kansas(4/1/2022)
RR
Kentucky(4/1/2022)
RR
Louisiana(4/1/2022)
RR
Maine(4/1/2022)
RR
Maryland(4/1/2022)
RR
Massachusetts(4/1/2022)
RR
Michigan(4/1/2022)
RR
Minnesota(12/13/2019)
IAR
Minnesota(12/13/2019)
RR
Mississippi(4/1/2022)
RR
Missouri(4/1/2022)
RR
Montana(4/1/2022)
RR
Nebraska(4/1/2022)
RR
Nevada(4/1/2022)
RR
New Hampshire(4/1/2022)
RR
New Jersey(4/1/2022)
RR
New Mexico(4/1/2022)
RR
New York(4/1/2022)
RR
North Carolina(4/1/2022)
RR
North Dakota(4/1/2022)
RR
Ohio(4/4/2022)
RR
Oklahoma(4/1/2022)
RR
Oregon(4/1/2022)
RR
Pennsylvania(4/1/2022)
RR
Rhode Island(4/1/2022)
RR
South Carolina(4/1/2022)
RR
South Dakota(4/1/2022)
RR
Tennessee(4/1/2022)
RR
Texas(4/1/2022)
IAR
Texas(1/18/2023)
RR
Utah(4/1/2022)
RR
Vermont(4/1/2022)
RR
Virginia(4/1/2022)
RR
Washington(4/1/2022)
RR
West Virginia(4/1/2022)
RR
Wisconsin(4/1/2022)
RR
Wyoming(4/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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#: 105644St Cloud, MN 56301TRUST BUT VERIFY
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