Sally S. Nicoli

CETERA INVESTMENT ADVISERS LLC

CHARLESTON, SC 29401

Some features on this profile are disabled

CRD#: 6889876

Professional summary

Sally Smith Nicoli, who also goes by Sally Anne Plyler, Sally A Smith, Sally A. Smith, Sally Anne Smith, Sally Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charleston, South Carolina and CETERA FINANCIAL SPECIALISTS LLC located in Charleston, South Carolina.

Sally is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Sally has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sally Anne Plyler | Sally A Smith | Sally A. Smith | Sally Anne Smith | Sally Smith

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) EXP REALTY, NOT INVESTMENT RELATED, DANIEL WEBSTER HWY, MEREDITH, NH, SALES PERSON FOR REAL ESTATE, 2H/WEEK, SINCE 04/2023.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sally Smith Nicoli'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

November 22, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2 Gillon St, Charleston, SC 29401

RIA

CRD#: 105644

CHARLESTON, SC

Current

November 22, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2 Gillon St, Charleston, SC 29401

CRD#: 10358

Charleston, SC

Past

May 9, 2023 - November 7, 2023

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHARLESTON, SC

Past

May 8, 2023 - November 7, 2023

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHARLESTON, SC

Past

October 2, 2018 - April 14, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CONCORD, NH

Past

October 2, 2018 - April 14, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

CONCORD, NH

Past

August 30, 2018 - September 7, 2018

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

July 31, 2018 - September 7, 2018

EDWARD JONES

RIA

CRD#: 250

Canterbury, NH

Past

February 10, 2018 - April 19, 2018

WHITEGATE INVESTMENT COUNSELORS, INC.

RIA

CRD#: 107732

CONCORD, NH

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

Illinois
(2/15/2024)

Maryland
(5/17/2024)

Massachusetts
(5/28/2024)

New Hampshire
(11/22/2023)

North Carolina
(11/22/2023)

South Carolina
(11/22/2023)

IAR

South Carolina
(11/22/2023)

Virginia
(3/14/2024)

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

Series 63

Date: 7/20/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/10/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2018

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Jackson Tiller

NYLIFE SECURITIES LLC

CHARLESTON, SC

Roger Johnson

ACT ADVISORS

IAR

Mt. Pleasant, SC

Jeremy Ellisor

CONVERGENT FINANCIAL GROUP

IAR

Mount Pleasant, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sally S. Nicoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sally Smith Nicoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

EDWARD JONES

EDWARD JONES

WHITEGATE INVESTMENT COUNSELORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/2018

Series 65

Date: 2/10/2018

SIE

Date: 9/7/2018

Series 7

Date: 8/30/2018

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

Similar Advisors