NW
Nicole R. Wagner
CETERA INVESTMENT ADVISERS LLC
FINDLAY, OH 45840
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CRD#: 7223326
NW
Professional summary
Nicole Renee Wagner is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Findlay, Ohio and CETERA WEALTH SERVICES, LLC located in Findlay, Ohio.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicole has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO 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. NAME OF ENTITY: UNITED WAY OF HANCOCK COUNTY; No; 245 STANFORD PARKWAY; FINDLAY; OH; 45840; NON-PROFIT ORGANIZATION; FIRE DIVISION CHAIR; 6/1/2020; 4; 4; PUBLIC APPEARANCES, SENDING OUT LETTER TO PAST DONORS; 2. NAME OF ENTITY: HANCOCK LEADERSHIP ALUMI ASSOCIATION; No; 123 EAST MAIN STREET; FINDLAY; OH; 45840; ALUMNI ASSOCIATION; TREASURER; 6/1/2019; 3; 3; REVIEW FINANCIALS AND HELP PLAN ANNUAL FUNDRAISERS; 3. NAME OF ENTITY: HANCOCK YOUTH LEADERSHIP; No; 123 EAST MAIN CROSS STREET; FINDLAY; OH; 45840; YOUTH LEADERSHIP; PRESIDENT; 9/1/2015; 3; 3; REVIEW FINANCIALS, RECORD KEEPING AND HELP PLAN SESSION DAYS; 4. NAME OF ENTITY: Nicole Wagner-Notary Public; No; 336 S Main St; Findlay; OH; 45840; Notary PUblic; Notary Public; 2/1/2021; 1; 1; Notarizing documents for clients; 5. NAME OF ENTITY: Allen-Kramp Wealth Management; Yes; 520 S Main St Suite A; Findlay; OH; 45840; FINANCIAL SERVICES/DBA; Registered Representative; 4/30/2021; 160; 120; SALE AND SERVICE INSURANCE, SECURITIES BUSINESS; 6. NAME OF OTHER BUSINESS: CORY-RAWSON SOS; INVESTMENT RELATED: NO; ADDRESS: 3930 CO RD 26, RAWSON, OH 45881; NATURE OF BUSINESS: PARENT/TEACHER ORGANIZATION; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, SIT ON PLANNING COMMITTEES TO HELP PLAN EVENTS, & ALSO FACILITATE A MEETING IF THE PRESIDENT IS NOT ABLE TO BE THERE; 7. NAME OF OTHER BUSINESS: MILLSTREAM AREA CREDIT UNION; INVESTMENT RELATED: NO; ADDRESS: 1007 WESTERN AVE, FINDLAY, OH 45840; NATURE OF BUSINESS: BOARD; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND REGULAR & SPECIAL MEETINGS, PARTICIPATE ON BOARD COMMITTEES, AMENDS CREDIT UNION BYLAWS, HIRES & ASSIGNS DUTIES OF CEO WHILE ALSO EVALUATING PERFORMANCE OF CEO;
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Renee Wagner'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
April 14, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 520 S Main St Ste A, Findlay, OH 45840RIA
CRD#: 105644
FINDLAY, OH
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 520 S Main Street Ste A, Findlay, OH 45840BD
CRD#: 13572
Findlay, OH
Past
November 30, 2020 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Findlay, OH
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
Ohio(6/9/2021)
IAR
Ohio(4/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/30/2020
Investment Company Products/Variable Contracts 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Findlay, OH 45840TRUST BUT VERIFY
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