NM
Nicholas Morey
CETERA INVESTMENT ADVISERS LLC
SAN ANTONIO, TX 78230
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CRD#: 6758195
NM
Professional summary
Nicholas Morey IV, who also goes by Nicholas Morey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Antonio, Texas and CETERA WEALTH SERVICES, LLC located in San Antonio, Texas.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Morey
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.
IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: , San Antonio TX , United States DESCRIPTION: Agent/Broker STONEHUE WEALTH MANAGEMENT LLC POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2017 ADDRESS: , San Antonio TX , United States DESCRIPTION: Agent/Broker LIBERTY JUMP TEAM, INC POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 1515 Mount Gilead Rd., Roanoke TX 76262, United States DESCRIPTION: Responsible for overseeing team accounts, invoicing members for dues and events. ST. MARY'S UNIVERSITY ALUMNI ASSOCIATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 1 Camino Santa Maria, San Antonio TX 78228, United States DESCRIPTION: Assist with alumni events, approve scholarships OAK HILLS NEW MEMBER COMMITTEE POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 5403 Fredericksburg Rd., San Antonio TX 78229, United States DESCRIPTION: Approve new members NICK'S FITNESS POSITION: Owner NATURE: Personal Trainer INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2010 ADDRESS: 9107 Maggie Ct, San Antonio TX 78240, United States DESCRIPTION: Assist clients in their overall health, through physical weight training as well as nutritional advice.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Morey IV'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8000 Ih-10w St 950, San Antonio, TX 78230RIA
CRD#: 105644
SAN ANTONIO, TX
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8000 Ih-10w Suite 1016, San Antonio, TX 78230BD
CRD#: 13572
San Antonio, TX
Past
September 20, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
San Antonio, TX
Past
August 11, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
San Antonio, 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".
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
Arizona(2/7/2024)
RR
Colorado(11/15/2024)
RR
Louisiana(10/3/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
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
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.
