NF
Nicholas Fuller
CETERA INVESTMENT ADVISERS LLC
FOREST LAKE, MN
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CRD#: 7989389
NF
Professional summary
Nicholas Fuller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Forest Lake, Minnesota and CETERA WEALTH SERVICES, LLC located in Forest Lake, Minnesota.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Nicholas has worked at 4 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) RYCHLEY FINANCIAL SERVICES POSITION: Financial Planning Assistant NATURE: Rychley Financial Services offers financial planning and tax preparation services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 78 START DATE: 09/24/2024 ADDRESS: 25 North Lake Street, Suite 210, Forest Lake MN 55025, United States DESCRIPTION: I will be assisting financial planners in the financial planning process. I will be assisting with opening accounts, processing customer requests, and other related activities. 2) TAX SMART ADVISORY GROUP LLC POSITION: Financial Planning Assistant NATURE: Tax-Smart Advisory Group LLC is a shared services company for financial advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2024 ADDRESS: 25 North Lake Street, Suite 210, Forest Lake MN 55025, United States DESCRIPTION: All work completed is under Rychley Financial Services. 3) YMCA OF THE NORTH POSITION: Swim Instructor NATURE: The Swim Instructor is responsible for providing swimming instruction to people of all ages, following the YMCA of the USA Aquatics and Swim Lessons guidelines. Swim Instructors will provide excellent customer service in a safe, enjoyable, and positive atmosphere that promotes member safety and satisfaction in accordance with the YMCA policies and procedures. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2025 ADDRESS: 2100 Orchard LN, White Bear Lake MN 55110, United States DESCRIPTION: Provide swimming instruction to students of various ages and ability levels. Maintain constant supervision of students, watch for swimmers needing assistance, and aid swimmers when necessary to ensure positive learning environment. Know, understand, and consistently communicate policies and procedures for the pool and whirlpool. Understand the YMCA Swim Lessons program, including swimming levels and skills taught for each level. Evaluate students and recommend placement in the correct skill level. 4)KELLY EDUCATION POSITION: Substitute Teacher NATURE: In this role, I will be a substitute teacher and paraprofessional for the normal employees when they are out. I will befulfilling their normal duties at school while they are absent. INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 20 START DATE: 09/02/2025 ADDRESS: 999 West Big Beaver Road, Troy MI 48084, United States DESCRIPTION: Maintain Safety in the Classroom Follow school and classroom procedures Follow sub plans Engage with studentsSupervise students at recess and in other locations
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Fuller'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FOREST LAKE, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25 North Lake Street Suite 210, Forest Lake, MN 55025BD
CRD#: 13572
Forest Lake, MN
Past
November 20, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Forest Lake, MN
Past
October 23, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Forest Lake, MN
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
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/23/2024
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
