NC
Nicholas Clark
CETERA INVESTMENT ADVISERS LLC
GULFPORT, MS 39503
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CRD#: 6902179
NC
Professional summary
Nicholas Clark is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gulfport, Mississippi and CETERA WEALTH SERVICES, LLC located in Biloxi, Mississippi.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Strojny Financial Services~'NIR'~2598 Pass Road Suite F~Biloxi~MS~39532~Accounting Services/Tax Preparation~Employee~1/1/2018~100hrs~60hrs~Answer phones, tax preparation, data entry, schedule appointment, various other duties as needed 2) SFS OF GULFPORT LLC POSITION: Tax Advisor NATURE: Prepare tax returns INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 65 START DATE: 10/01/2021 ADDRESS: 2598 Pass Road, Suite F, Biloxi MS 39531, United States DESCRIPTION: Prepare tax returns 3) FIRST PRESBYTERIAN CHURCH OF BILOXI POSITION: Treasurer NATURE: To assist the church board in budgeting, understanding financial statments, and record keeping of donations. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1340 Beach Blvd, Biloxi MS 39530, United States DESCRIPTION: Prepare annual budgets Assist in preparation of financial reports for church diaconate and session. Assist in maintanace of donation, contribution, and pledge records made to the church Count offering funds and record weekly deposits 4) C2 VENTURES LLC POSITION: Managing Member NATURE: Online and retail sales. T-shirts, hoodies, sweatshirts, hats, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/04/2024 ADDRESS: 2109 Irma Circle, Ocean Springs MS 39564, United States DESCRIPTION: Managing Member / Owner Accounting records Tax return preparation 5) NIMIC TECHNOLOGIES LLC POSITION: Owner NATURE: Design and development of consumer-facing software applications, including mobile tools for personal health tracking and financial organization (receipt splitting, tip calculators, basic accounting classification). No involvment in securities or financial advisory services. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 2109 Irma Cir, Ocean Springs MS 39564, United States DESCRIPTION: Software development Accounting Tax return preparation 6) NM CAPITAL LLC POSITION: Owner NATURE: Holding company for ownership in other business ventures. Established to hold ownership in companies run/managed by myself. Currently it holds ownership in a software development company that I own 100%. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/2025 ADDRESS: 2109 Irma Cir, Ocean Springs MS 39564, United States DESCRIPTION: Owner Accoutning records Tax return preparation
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Clark'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12342 Ashley Dr. Ste A, Gulfport, MS 39503Office #2: 2598 Pass Road Suite F, Biloxi, MS 39531RIA
CRD#: 105644
GULFPORT, MS
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2598 Pass Road Suite F, Biloxi, MS 39531Office #2: 12342 Ashley Dr. Ste A, Gulfport, MS 39503BD
CRD#: 13572
BILOXI, MS
Past
March 26, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
BILOXI, MS
Past
September 23, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
GULFPORT, MS
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
Alabama(9/5/2025)
RR
Mississippi(9/5/2025)
IAR
Mississippi(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2019
General Securities Representative ExaminationGeneral 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Gulfport, MS 39503TRUST BUT VERIFY
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