NM
Nicholas M. Mcghee
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, IL 62704
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CRD#: 7451035
NM
Professional summary
Nicholas Michael Mcghee is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Illinois and CETERA WEALTH SERVICES, LLC located in Springfield, Illinois.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 2 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2022 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: M. A. KLUEMKE AND ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE: 5/2022 POSITION/TITLE/RELATIONSHIP: ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE TASKS SUCH AS PREPARING AND PROCESSING PAPERWORK, DATA ENTRY IN FINANCIAL PLANNING AND CRM SOFTWARE. RESEARCHING INVESTMENT OPTIONS ON BEHALF OF THE REP, REQUESTING PROPOSALS ON BEHALF OF THE REP. OTHER DUTIES AS ASSIGNED; 3. NAME OF OTHER BUSINESS: MCGHEE WEALTH MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: LLC CREATED TO FACILITATE PAYROLL AND BUSINESS EXPENSE ACCOUNTING;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Michael Mcghee'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2659 W Lawrence Avenue, Springfield, IL 62704RIA
CRD#: 105644
SPRINGFIELD, IL
Current
December 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2659 W Lawrence Avenue, Springfield, IL 62704BD
CRD#: 13572
Springfield, IL
Past
June 6, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
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
Colorado(11/10/2025)
RR
Florida(6/18/2025)
RR
Illinois(6/6/2023)
IAR
Illinois(6/29/2023)
RR
Iowa(6/18/2025)
RR
Michigan(8/6/2025)
RR
Missouri(6/18/2025)
RR
North Carolina(9/12/2025)
RR
Ohio(8/7/2025)
RR
South Carolina(7/28/2025)
RR
Wisconsin(6/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/20/2022
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.
