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Nicholas Guccia

Cetera Investment Advisers LLC
10 Years of Experience
Hixson, TN
1 DisclosureBroker
View SEC Summary
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Nicholas Guccia is a registered investment advisor at Cetera Investment Advisers LLC, based in Hixson, TN, with 10 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

5446 Tennessee Highway 153, Hixson, TN, 37343

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History

Regulatory History (1)
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Employment Separation After Allegations
September 2023
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nicholas is the 100% owner of Nicholas Guccia LLC, a real estate rental and development company.

Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2024 - Present · 2 yrs 6 mos
Cetera Investment Services LLCBroker
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Prudential Financial Planning Services
September 2023 - February 2024 · 5 mos
Pruco Securities, LLC.Broker
September 2023 - February 2024 · 5 mos
Wells Fargo Clearing Services, LLC
May 2023 - October 2023 · 5 mos
Wells Fargo Clearing Services, LLCBroker
April 2023 - October 2023 · 6 mos
Cetera Investment Advisers LLC
August 2021 - April 2022 · 8 mos
Cetera Investment Services LLCBroker
March 2021 - April 2022 · 1 yr 1 mo
LPL Financial LLCBroker
June 2016 - March 2021 · 4 yrs 9 mos
Foresters Financial Services, INC.Broker
September 2014 - January 2016 · 1 yr 4 mos
State Registrations3 states
ALGATN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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