NA
Nicholas K. Aubin
CETERA INVESTMENT ADVISERS LLC
ROCHELLE PARK, NJ 07662
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CRD#: 7489912
NA
Professional summary
Nicholas Keith Aubin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rochelle Park, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Rochelle Park, New Jersey.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, 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) BGS CAPITAL MANAGEMENT, LLC; ROCHELLE PARK, NJ; INV REL; DBA FOR INVESTMENT PRACTICE; FINANCIAL PROFESSIONAL; SINCE 09/2023; 160 HRS/MO 2) 2 AUBINS MANAGEMENT LLC; NORTH ARLINGTON, NJ; NON-INV RELATED; PROPERTY RENTAL; OWNER; SINCE 02/2023; 32 HRS/MO 3) GOLF CADDY; WAYNE, NJ; NON-INV RELATED; GOLF CADDY; VARIOUS COURSES; SINCE 06/2013; 32 HOURS/MO 4) NAME OF OTHER BUSINESS: BGS CAPITAL MANAGEMENT, LLC , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 35, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 04/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS, HEALTH, PROPERTY & CASUALTY 6) NAME OF OTHER BUSINESS: POLARIS GALAXY INSURANCE, LLC, INVESTMENT RELATED: NO, ADDRESS: 777 TERRACE AVE., STE 309, HASBROUCK HEIGHTS, NJ 07604. NATURE OF BUSINESS: INSURANCE, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: REFERRING AGENT, , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REFERRING PROPERTY AND CASUALTY BUSINESS;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Keith Aubin'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 26, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 201 West Passaic Street Suite 301, Rochelle Park, NJ 07662RIA
CRD#: 105644
ROCHELLE PARK, NJ
Current
September 5, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 201 West Passaic Street Suite 301, Rochelle Park, NJ 07662BD
CRD#: 10358
Rochelle Park, NJ
Past
August 19, 2022 - August 15, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDISON, NJ
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(4/23/2024)
RR
Florida(7/12/2024)
RR
Georgia(4/23/2024)
RR
New Jersey(9/5/2023)
IAR
New Jersey(9/26/2023)
RR
New York(9/5/2023)
RR
Pennsylvania(9/5/2023)
RR
Texas(4/23/2024)
IAR
Texas(4/23/2024)
RR
Utah(4/23/2024)
RR
Wyoming(11/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/30/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/19/2022
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
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.
