Nicholas D. Faller
SAGEVIEW ADVISORY GROUP
Westlake Village, CA 91361
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CRD#: 6494504
Professional summary
Nicholas David Faller, CFP®, who also goes by Nicholas Faller, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Westlake Village, California and CETERA INVESTMENT ADVISERS LLC located in Birmingham, Michigan.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Faller
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: SAGEVIEW ADVISORY GROUP - CRD # 126777; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: WORK WITH INDIVIDUALS ON FINANCIAL PLANS AND INVESTMENT STRATEGIES; 2. NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES DBA; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ADVICE TO CLIENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas David Faller'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®
CFP®
Start date: 2022
Experience
Current
January 11, 2022 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361RIA
CRD#: 126777
Westlake Village, CA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 280 N Old Woodward Ave Ste 100, Birmingham, MI 48009RIA
CRD#: 105644
BIRMINGHAM, MI
Current
November 21, 2023 - Present
CETERA ADVISORS LLC
Office #1: 280 N Old Woodward Ave Ste 100, Birmingham, MI 48009BD
CRD#: 10299
BIRMINGHAM, MI
Past
February 24, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEWPORT BEACH, CA
Past
February 22, 2023 - February 13, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEWPORT BEACH, CA
Past
September 8, 2022 - February 24, 2023
CETERA ADVISORS LLC
BD
CRD#: 10299
BLOOMFIELD HILLS, MI
Past
November 12, 2020 - February 24, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BLOOMFIELD HILLS, MI
Past
July 10, 2020 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Bloomfield Hills, MI
Past
July 1, 2020 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BLOOMFIELD HILLS, MI
Past
August 1, 2019 - July 3, 2020
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SOUTHFIELD, MI
Past
June 21, 2019 - July 3, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SOUTHFIELD, MI
Past
November 5, 2015 - June 24, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAGINAW, MI
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
Arizona(3/8/2024)
IAR
California(2/28/2023)
RR
California(11/21/2023)
RR
Colorado(3/8/2024)
RR
Florida(11/21/2023)
RR
Hawaii(7/23/2024)
RR
Illinois(3/12/2024)
RR
Indiana(3/12/2024)
RR
Iowa(11/11/2024)
RR
Kansas(3/8/2024)
RR
Kentucky(3/12/2024)
RR
Maryland(3/12/2024)
RR
Massachusetts(3/12/2024)
IAR
Michigan(1/11/2022)
RR
Michigan(11/21/2023)
RR
Minnesota(3/12/2024)
RR
Mississippi(3/12/2024)
RR
Missouri(3/12/2024)
RR
Montana(8/6/2024)
RR
Nevada(10/1/2024)
RR
New Mexico(7/3/2025)
RR
New York(3/12/2024)
RR
North Carolina(7/24/2024)
RR
North Dakota(7/23/2024)
RR
Ohio(11/21/2023)
RR
Oklahoma(4/9/2025)
RR
Pennsylvania(7/23/2024)
RR
Rhode Island(4/3/2024)
RR
South Carolina(3/12/2024)
RR
Tennessee(7/12/2024)
RR
Texas(3/12/2024)
IAR
Texas(3/12/2024)
RR
Utah(3/12/2024)
RR
Virginia(3/12/2024)
RR
Washington(8/27/2024)
RR
Wisconsin(3/12/2024)
RR
Wyoming(8/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Westlake Village, CA 91361TRUST BUT VERIFY
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