LN
Lawrence D. Nicholson
CETERA INVESTMENT ADVISERS LLC
Plano, TX 75093
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CRD#: 6244166
LN
Professional summary
Lawrence Dale Nicholson III, who also goes by Lawrence Dale Nicholson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Plano, Texas and CETERA WEALTH SERVICES, LLC located in Plano, Texas.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Lawrence has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lawrence Dale Nicholson
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: NICHOLSON FINANCIAL, LLC DBA CENTERPEACE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: 3300 DALLAS PARKWAY, STE 200, PLANO, TX 75093, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2024; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Dale Nicholson III'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3300 Dallas Parkway Suite 200, Plano, TX 75093RIA
CRD#: 105644
Plano, TX
Current
March 18, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3300 Dallas Parkway Suite 200, Plano, TX 75093BD
CRD#: 13572
Plano, TX
Past
March 18, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DALLAS, TX
Past
December 19, 2017 - February 25, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Carrollton, TX
Past
December 1, 2017 - February 25, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Carrollton, TX
Past
January 24, 2014 - November 3, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
LITTLE ROCK, AR
Past
December 4, 2013 - November 3, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
LITTLE ROCK, AR
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
Arkansas(3/18/2022)
RR
Illinois(3/18/2022)
RR
Kansas(6/25/2025)
RR
Maryland(6/24/2024)
RR
New York(6/6/2024)
RR
Oregon(3/18/2022)
RR
Tennessee(3/18/2022)
RR
Texas(3/18/2022)
IAR
Texas(6/29/2023)
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Plano, TX 75093TRUST BUT VERIFY
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