AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NH

Nicholas A. Hughes

CETERA INVESTMENT ADVISERS
Westminster, CO 80031
CRD#: 7557823
Some features on this profile are disabled
NH
Nicholas Alexander HughesCETERA INVESTMENT ADVISERS

Professional summary

Nicholas Alexander Hughes, who also goes by Nicholas A Hughes, Nicholas Hughes, Nick Hughes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westminster, Colorado and CETERA WEALTH SERVICES, LLC located in Westminster, Colorado.

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 4 firms and has passed the Series 66, Series 52TO, Series 50, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas A Hughes | Nicholas Hughes | Nick Hughes

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 Nicholas Alexander Hughes'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

June 4, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8471 Turnpike Drive Ste 115, Westminster, CO 80031
RIA
CRD#: 105644
Westminster, CO
Current

June 4, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8471 Turnpike Dr Ste 115, Westminster, CO 80031
BD
CRD#: 13572
WESTMINSTER, CO
Past

November 11, 2025 - May 1, 2026

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
Denver, CO
Past

November 11, 2025 - May 1, 2026

HILLTOP SECURITIES INC.

BD
CRD#: 6220
Denver, CO
Past

September 16, 2022 - November 10, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DENVER, CO
Past

August 15, 2022 - November 10, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO

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
(6/4/2026)
IAR
Colorado
(6/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/19/2026
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 50
Date: 1/28/2026
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2021
Securities Industry Essentials Examination
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)
Loading...

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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Westminster, CO 80031

TRUST BUT VERIFY

Monitor Nicholas Hughes

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
GREENWOOD VILLAGE, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
DENVER, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.