Nyren J. Compton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nyren John Compton, who also goes by Nyren Compton, was a registered financial professional .
Nyren is a previously registered financial professional and started their career in finance in 2010. Nyren had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2018 - January 21, 2025
CETERA INVESTMENT ADVISERS LLC
April 13, 2018 - January 21, 2025
CETERA INVESTMENT SERVICES LLC
August 9, 2016 - April 12, 2018
VOYA FINANCIAL ADVISORS, INC.
August 2, 2016 - April 12, 2018
VOYA FINANCIAL ADVISORS, INC.
June 19, 2015 - August 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2015 - August 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2015 - June 18, 2015
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
September 16, 2014 - May 1, 2015
LPL FINANCIAL LLC
January 6, 2012 - April 2, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - April 2, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 8, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
August 24, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
