Nikolas P. Pineider

CETERA INVESTMENT ADVISERS LLC

SOUTHLAKE, TX 76092

Some features on this profile are disabled

CRD#: 5921031

Professional summary

Nikolas Paul Pineider, CFP®, who also goes by Nik Paul Pineider, Nikolas Pineider, Nik P Pineider, Nik Pineider, Nikolas P Pineider, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Southlake, Texas and CETERA WEALTH SERVICES, LLC located in Southlake, Texas.

Nikolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nikolas has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nik Paul Pineider | Nikolas Pineider | Nik P Pineider | Nik Pineider | Nikolas P Pineider

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) PINEIDER, FORD & ASSOCIATES PLLC; POSITION: Associate NATURE: I work at an accounting firm that provides tax compliance, tax planning, tax preparation, bookkeeping and other accounting related services. INVESTMENT RELATED: No NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 130 START DATE: 01/06/2021 ADDRESS: 2241 E Continental, Suite 140, Southlake TX 76092, US; I prepare and review tax returns. I meet with new and ongoing clients to help understand how we can better meet there needs. I meet with staff in order to help them understand regulatory changes and how we can improve the client experience as well as be more proficient in what we do on a daily basis. I work to modernize the firm and improve processes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nikolas Paul Pineider's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 320 Morrison Park Dr. Suite 130, Southlake, TX 76092

RIA

CRD#: 105644

SOUTHLAKE, TX

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2241 E Continental Blvd Ste. 140, Southlake, TX 76092

CRD#: 13572

Southlake, TX

Past

September 8, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Southlake, TX

Past

September 8, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Southlake, TX

Past

July 15, 2011 - September 16, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/22/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/18/2013

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Robert Shannon

BRAZOS WEALTH ADVISORS LLC

IAR

FORT WORTH, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nikolas P. Pineider

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nikolas Paul Pineider's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2011

Series 4

Date: 3/18/2013

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors