NB
Nathan A. Buckles
CETERA INVESTMENT ADVISERS LLC
Phoenix, AZ
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CRD#: 5342230
NB
Professional summary
Nathan Andrew Buckles, who also goes by Nathan Buckles, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA WEALTH SERVICES, LLC located in Phoenix, Arizona.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nathan has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Buckles
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 20865 N 90TH PL STE 110; SCOTTSDALE; AZ; 85255; Fixed Insurance Sales; INDEPENDENT INSURANCE AGENT; 3/4/2013; 20; 20; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:NATHAN BUCKLES-NOTARY; No; 20865 N 90TH PL STE 110; SCOTTSDALE; AZ; 85255; NOTARY PUBLIC; NOTARY; 12/13/2017; 1; 0; NOTARIZE DOCUMENTS IN ACCORDANCE WITH AZ STATE RULES REGARDING NOTARY PUBLICS.|NAME OF ENTITY:EKA Financial, LLC.; No; 3420 E Shea Blvd Suite 200; Phoenix; AZ; 85028; tax purposes only; Owner; 1/1/2020; 0; 0; tax purposes only|NAME OF ENTITY:Meridian Special Needs Planning LLC.; Yes; 3420 E Shea Blvd Suite 200; Phoenix; AZ; 85028; Financial Services/dba; Owner; 12/13/2019; 160; 160; Provide Financial Planning services, with a focus on Special Needs Planning, and sale of insurance, securities and investment products.|NAME OF ENTITY:Meridian Estate Services LLC.; No; 3420 E Shea Blvd Suite 200; Phoenix; AZ; 85028; Legal document preparation; Owner; 1/6/2021; 40; 40; Legal document preparation, guardianship filing, provided by in house legal counsel.|
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Andrew Buckles'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 #2: 1904 W Parkside Ln Ste 100, Phoenix, AZ 85027RIA
CRD#: 105644
Phoenix, AZ
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1904 W Parkside Ln Ste 100, Phoenix, AZ 85027BD
CRD#: 13572
PHOENIX, AZ
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 17, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PHOENIX, AZ
Past
August 1, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PHOENIX, AZ
Past
December 10, 2010 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PHOENIX, AZ
Past
September 30, 2010 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PHOENIX, AZ
Past
March 19, 2010 - September 20, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SUN CITY, AZ
Past
July 3, 2007 - March 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SUN CITY WEST, AZ
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
Arizona(6/9/2021)
IAR
Arizona(6/29/2023)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
Nevada(6/9/2021)
RR
Utah(1/2/2025)
RR
Virginia(6/9/2021)
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
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.
