NK
Nicholas R. Kaster
CETERA INVESTMENT ADVISERS LLC
MILAN, MI
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CRD#: 7185307
NK
Professional summary
Nicholas Ray Kaster is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Milan, Michigan and CETERA WEALTH SERVICES, LLC located in Jackson, Michigan.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 5 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) Capstone Tax and Financial Inc~'NIR'~511 East Michigan Avenue~Saline~MI~48176~Accounting Services/Tax Preparation~Employee~10/2/2019~60hrs~40hrs~My duties are to input the collected data into our tax software. I am to ensure that all data that is suppose to be there, is there. I, then, review the tax return with the preparer and they finish the return 2) RACQUET CLUB OF ANN ARBOR POSITION: Consultant/ Facilities Manager NATURE: facilities manager INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/05/2012 ADDRESS: 3010 Hickory Lane, Ann Arbor MI 48104 DESCRIPTION: My duties included hiring, scheduling, assigning tasks, general maintenance, fixing items and ensuring staff tasks were being completed. After I got hired in, I moved into more of a part time/consultant role. I only go in to help when needed. 3) RIVER POINTE CONDO ASSOCIATION POSITION: Board Member / Treasurer NATURE: board member and treasurer of the condo HOA will serve a 2 year term starting on January 1st. I am going to be responsible for the budgeting and bookkeeping for the association. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 511 E. Michigan Ave., Saline MI 48176 DESCRIPTION: Condo Association Bookkeeping-Collecting Payments and Paying Bills-Voting Member-Creating Annual Budgets-Hosting Monthly Board Meetings 4) DEMPSY & DEMPSY, P.C. POSITION: Tax Preparer NATURE: assist with customer service, assist with the preparation and filing of tax returns for clients during the tax season. INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 14 START DATE: 10/01/2024 ADDRESS: 1881 W Maumee St, Adrian MI 49221, United States DESCRIPTION: I am being brought on to assist in the preparation, filing of tax returns during the tax season. Responsibilities include: Preparation of tax returns Entering Data Reviewing the tax returns for accuracy 5) WILLIS & MACHNIK FINANCIAL SERVICES, LLC POSITION: Financial Advisor NATURE: The service I will be providing to the clients include client communication, trade execution, portfolio rebalance execution, creation of financial plans, presentation of financial plans, presentation of current account performance, and presentation of proposed model changes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 157 SECURITIES TRADING HOURS: 116 START DATE: 10/01/2024 ADDRESS: 408 W Michigan Ave, Jackson MI 49201, United States DESCRIPTION: My roles and responsibilities for Willis & Machnik Financial Services, LLC include: Client communication 6) DEMPSEY & DEMPSEY, P.C. POSITION: Tax Preparer NATURE: I am being brought on to assist with customer service, assist with the preparation and filing of tax returns for clients during the tax season. INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 14 START DATE: 10/01/2024 ADDRESS: 1881 W Maumee St, Adrian MI 49221 DESCRIPTION: I am being brought on to assist in the preparation, filing of tax returns during the tax season. Responsibilities include: Preparation of tax returns; Entering Data; Reviewing the tax returns for accuracy; Reviewing the tax returns with the clients
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ray Kaster'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 #2: 408 W. Michigan Ave., Jackson, MI 49201RIA
CRD#: 105644
MILAN, MI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 408 W Michigan Ave, Jackson, MI 49201BD
CRD#: 13572
Jackson, MI
Past
January 5, 2024 - October 10, 2024
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
Milan, MI
Past
November 16, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Milan, MI
Past
September 15, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Jackson, 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".
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(9/18/2025)
RR
Colorado(9/5/2025)
RR
Michigan(9/5/2025)
IAR
Michigan(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/15/2020
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
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.
