Nicholas J. Hoeschel
CETERA INVESTMENT ADVISERS LLC
HOCKESSIN, DE 19707
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CRD#: 5546455
Professional summary
Nicholas James Hoeschel, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hockessin, Delaware and CETERA WEALTH SERVICES, LLC located in Hockessin, Delaware.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2009 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 3 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE , DISABILITY, ANNUITIES, LONG-TERM CARE AND PROPERTY AND CASUALTY INSURANCE; 2. NAME OF OTHER BUSINESS: COLLEGE COST SOLUTIONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GENERATING CLIENTS THAT ARE INTERESTED IN PAYING FOR COLLEGE. START DATE: 1/2017 POSITION/TITLE/RELATIONSHIP: OWNER - LEAD PRESENTER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: PRESENT SEMINARS TO HIGH SCHOOL PARENTS ON THE TOPIC OF PAYING FOR COLLEGE - THEN MEET WITH PARENTS IF NEEDED; 3. NAME OF OTHER BUSINESS: HFS ADVISERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISORY START DATE: 1/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISORY - INVESTMENT AND INSURANCE PLANNING; 4. NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: <1; APX NUMBER OF HOURS DURING TRADING HOURS: <1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS AS NEEDED; 5. NAME OF OTHER BUSINESS: HFS ADVISERS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR EXPENSE MANAGEMENT PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Hoeschel'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: 2014
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7234 Lancaster Pike Suite 211a, Hockessin, DE 19707RIA
CRD#: 105644
HOCKESSIN, DE
Current
July 27, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7234 Lancaster Pike Suite 211a, Hockessin, DE 19707BD
CRD#: 13572
HOCKESSIN, DE
Past
July 27, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GEORGETOWN, CT
Past
June 29, 2012 - July 28, 2022
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
WILMINGTON, DE
Past
July 21, 2009 - July 28, 2022
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WILMINGTON, DE
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(1/11/2024)
RR
California(7/27/2022)
RR
Colorado(7/27/2022)
RR
Delaware(7/27/2022)
IAR
Delaware(6/29/2023)
RR
Florida(7/27/2022)
RR
Georgia(2/21/2023)
RR
Maryland(7/27/2022)
RR
Michigan(7/27/2022)
RR
New Jersey(7/27/2022)
RR
New Mexico(1/24/2024)
RR
New York(7/27/2022)
RR
Pennsylvania(7/27/2022)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(7/27/2022)
RR
Virginia(7/27/2022)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hockessin, DE 19707TRUST BUT VERIFY
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