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KN

Katie Nulliner

EXCELSIOR ADVISOR NETWORK
SCOTTSDALE, AZ 85254
Some features on this profile are disabled
CRD#: 7522498
KN

Professional summary

Katie Nulliner, who also goes by Katie Delana Nulliner, Katie Nulliner, is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Scottsdale, Arizona and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Katie has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katie Delana Nulliner | Katie Nulliner

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Nulliner's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 4, 2026 - Present

EXCELSIOR ADVISOR NETWORK LLC

Office #1: 14624 Scottsdale Suite 195, Scottsdale, AZ 85254
RIA
CRD#: 334779
SCOTTSDALE, AZ
Current

April 28, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

December 22, 2025 - April 2, 2026

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
PHOENIX, AZ
Past

September 18, 2025 - April 2, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PHOENIX, AZ

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".
EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 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
Arizona
(5/4/2026)
IAR
Arizona
(5/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/18/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Denver, CO
Mailing Address
Po Box 6195, Denver, CO 80206
Phone number
(303) 351-6436
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts78
AUM (Assets Under Management)$ 150,007,226

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.

Company Information

EXCELSIOR ADVISOR NETWORK LLC

CRD#: 334779Scottsdale, AZ 85254

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