Nicholas C. Carter
CETERA INVESTMENT ADVISERS LLC | Assistant Vice President, Wealth Management, Institutional Consulting Associate
Rockville, MD 20850
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CRD#: 5362028
Professional summary
Nicholas Carter, who also goes by Nicholar C Carter, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rockville, Maryland and CETERA WEALTH SERVICES, LLC located in Rockville, Maryland.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholar C Carter
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: FINANCIAL ADVANTAGE ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES TO CLIENTS OF THE FIRM; 2. NAME OF OTHER BUSINESS: HOCKEY NORTH AMERICA INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENCE NATURE OF BUSINESS: RECREATIONAL ADULT HOCKEY LEAGUE START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: OFFICIAL / REFEREE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OFFICIATING ADULT HOCKEY; 3. NAME OF OTHER BUSINESS: SOUTHEASTERN HOCKEY OFFICIALS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENCE NATURE OF BUSINESS: OFFICIATING AMATEUR YOUTH AND ADULT HOCKEY START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: OFFICIAL / REFEREE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OFFICIATING AMATEUR HOCKEY GAMES;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Carter'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
August 19, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2101 Gaither Rd Suite 600, Rockville, MD 20850RIA
CRD#: 105644
Rockville, MD
Current
August 19, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2101 Gaither Rd Suite 600, Rockville, MD 20850BD
CRD#: 13572
Rockville, MD
Past
December 19, 2012 - August 23, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Washington, DC
Past
December 17, 2012 - August 23, 2024
MORGAN STANLEY
BD
CRD#: 149777
Washington, DC
Past
November 1, 2012 - December 10, 2012
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
PALM BEACH GARDENS, FL
Past
September 26, 2012 - December 10, 2012
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
PALM BEACH GARDENS, FL
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
District of Columbia(8/26/2024)
RR
Florida(1/3/2025)
IAR
Maryland(8/19/2024)
RR
Maryland(11/14/2024)
RR
New York(2/2/2025)
RR
Virginia(11/14/2024)
RR
Washington(1/2/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
Assistant Vice President, Wealth Management, Institutional Consulting AssociateCRD#: 105644Rockville, MD 20850TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
