WM
Whitney M. Mcnicol
CETERA INVESTMENT ADVISERS LLC
LOUISVILLE, KY 40216
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CRD#: 6520381
WM
Professional summary
Whitney Mcguire Mcnicol, who also goes by Whitney Ann Mcguire, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA WEALTH SERVICES, LLC located in Louisville, Kentucky.
Whitney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Whitney has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Whitney Ann Mcguire
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: MAX MUSIC WELL FOUNDATION INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: CHARITABLE FOUNDATION START DATE: 03/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: ACCOUNTING SERVICES AND ATTEND ANNUAL MEETINGS; 2. NAME OF OTHER BUSINESS: MOM'S MUSIC INC. INVESTMENT RELATED: NO ADDRESS: 1900 MELLWOOD AVE LOUISVILLE, KY 40206 NATURE OF BUSINESS: RETAIL MUSIC INSTRUMENT STORE & OFFER MUSIC LESSONS START DATE: 07/2020 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: CO-OWNER BRIEF DESCRIPTION OF DUTIES: REVIEW FINANCIALS MONTHLY AND TAX RETURN ANNUALLY; 3. NAME OF OTHER BUSINESS: MCNICOL MAXWELL LLC DBA MAXWELL'S HOUSE OF MUSIC INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: RETAIL MUSIC STORE AND OFFER MUSIC LESSONS START DATE: 09/2019 APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 6 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: ACCOUNTING SERVICES AND TAX RETURN PREPARATION ASSISTANCE WITH OUR CPA; 4. NAME OF OTHER BUSINESS: MHOM MANAGEMENT COMPANY INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: MINOR ACCOUNTING AND TAX PREPARATION START DATE: 01/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: MINOR ACCOUNTING AND TAX PREPARATION; 5. NAME OF OTHER BUSINESS: J MAC ENTERTAINMENT LLP INVESTMENT RELATED: NO ADDRESS: 10613 DRY CREEK WAY LOUISVILLE, KY 40299 NATURE OF BUSINESS: MARKETING SERVICES ARE PROVIDED FOR MUSICIANS START DATE: 11/2018 APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: .25 POSITION/TITLE/RELATIONSHIP: PARTNER BRIEF DESCRIPTION OF DUTIES: OVERSEE ACCOUNTING AND TAX PREPRATION ANNUALLY; 6. Name of other business: Commonwealth Capital Management, LLC Investment related: Yes Address: Same as registered location Nature of business: Financial Services Start date: 12/2024 Position/title/relationship: Financial Advisor Apx number of hours per week: 40 Apx number of hours during trading hours: 40 Brief description of duties: Providing financial services to clients;
CRS (Client Relationship Summary) - RIA
Click below to view Whitney Mcguire Mcnicol'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1728 Gagel Ave, Louisville, KY 40216RIA
CRD#: 105644
LOUISVILLE, KY
Current
January 2, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223BD
CRD#: 13572
Louisville, KY
Past
September 8, 2022 - January 6, 2025
CETERA ADVISORS LLC
BD
CRD#: 10299
LOUISVILLE, KY
Past
January 9, 2018 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LOUISVILLE, KY
Past
January 8, 2018 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LOUISVILLE, KY
Past
November 22, 2016 - December 31, 2017
WADDELL & REED
RIA
CRD#: 866
LOUISVILLE, KY
Past
June 6, 2016 - December 31, 2017
WADDELL & REED
BD
CRD#: 866
LOUISVILLE, KY
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
California(10/27/2025)
RR
Indiana(1/2/2025)
IAR
Kentucky(11/12/2020)
RR
Kentucky(1/2/2025)
RR
Wisconsin(1/10/2025)
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
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.
