Nicholas M. Guccia

CETERA INVESTMENT ADVISERS LLC

HIXSON, TN 37343

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CRD#: 6370707

Professional summary

Nicholas Michael Guccia, who also goes by Nicholas Michael Guccia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hixson, Tennessee and CETERA INVESTMENT SERVICES LLC located in Hixson, Tennessee.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Michael Guccia

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.) NICHOLAS GUCCIA LLC, REAL ESTATE RENTAL AND DEVELOPMENT, 100% OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Michael Guccia'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®

None

Experience

Current

April 29, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5446 Tennessee Highway 153, Hixson, TN 37343

RIA

CRD#: 105644

HIXSON, TN

Current

April 22, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5446 Tennessee Highway 153, Hixson, TN 37343

CRD#: 15340

Hixson, TN

Past

September 28, 2023 - February 15, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ATLANTA, GA

Past

September 26, 2023 - February 15, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

ATLANTA, GA

Past

May 1, 2023 - October 10, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

April 28, 2023 - October 10, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

August 11, 2021 - April 27, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAYRE, PA

Past

March 19, 2021 - April 27, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAYRE, PA

Past

June 7, 2016 - March 25, 2021

LPL FINANCIAL LLC

CRD#: 6413

JOHNSON CITY, NY

Past

September 22, 2014 - January 12, 2016

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

ENDICOTT, 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".

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

Alabama
(4/29/2024)

Georgia
(4/29/2024)

IAR

Georgia
(4/29/2024)

Tennessee
(4/26/2024)

IAR

Tennessee
(4/29/2024)

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

IAR

Series 65

Date: 8/7/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/2014

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: 1/18/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas M. Guccia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Michael Guccia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2021

Series 63

Date: 9/12/2014

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2017

Series 6

Date: 9/4/2014

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

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