MN
Miguel Nunez
CETERA INVESTMENT ADVISERS LLC
YONKERS, NY 10710
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CRD#: 5712892
MN
Professional summary
Miguel Nunez, who also goes by Miguel A Nunez, Ariel Osoria, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Yonkers, New York and CETERA ADVISORS LLC located in Yonkers, New York.
Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Miguel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Miguel A Nunez | Ariel Osoria
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: N/A INVESTMENT RELATED: NO ADDRESS: 939 E 218TH ST, 2ND FLOOR, BRONX, NY 10469 NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: LANDLORD / OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES ; 2) NAME OF OTHER BUSINESS: NUNEZ WEALTH MANAGEMENT INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 8/2022 POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: WEALTH MANAGEMENT & TAX PREPARATION SERVICES. FINANCIAL PLANNING 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 4/2021; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 4) NAME OF OTHER BUSINESS: MIGUEL NUNEZ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ASSIST CLIENTS WITH BUYING AND SELLING HOMES, AS WELL AS HOUSING RENTALS; 5) NAME OF OTHER BUSINESS: NUNEZ WEALTH MANAGEMENT INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: PROVIDE INCOME TAX PREPARATION SERVICES SUCH AS FILING TAX RETURNS AND/OR ASSIST WITH ANY PERSONAL AND BUSINESS TAX RETURNS/LIABILITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Miguel Nunez'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 73 Market St Suite 376, Yonkers, NY 10710RIA
CRD#: 105644
YONKERS, NY
Current
August 18, 2020 - Present
CETERA ADVISORS LLC
Office #1: 73 Market St Suite 376, Yonkers, NY 10710BD
CRD#: 10299
YONKERS, NY
Past
August 18, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BRONX, NY
Past
September 9, 2014 - August 28, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BRONX, NY
Past
October 1, 2012 - August 28, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BRONX, NY
Past
October 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
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
Florida(1/3/2023)
RR
New Jersey(8/18/2020)
RR
New York(8/18/2020)
IAR
New York(3/21/2024)
RR
Virginia(9/11/2024)
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.
