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Nicholas Guccia

Cetera Investment Advisers LLC

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About Nicholas Guccia

Nicholas Guccia is a financial advisor with Cetera Investment Advisers LLC. Nicholas has been in the financial industry since 2016 and is licensed to provide investment advice in Georgia and Tennessee. Prior to joining Cetera Investment Advisers LLC, Nicholas has held positions at other financial institutions including PRUCO SECURITIES, LLC., Wells Fargo Clearing Services, LLC, Cetera Investment Services LLC, LPL Financial LLC, and Foresters Financial Services, Inc.. Nicholas specializes in providing financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals. Nicholas is committed to providing his clients with personalized financial advice to help them achieve their financial goals.

Firm Information

Nicholas Guccia is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.
Cetera Investment Advisers LLC

5446 TENNESSEE HIGHWAY 153

HIXSON, TN 37343

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicholas Guccia’s Registration & Firm History

TN

04/29/2024 - Present

Cetera Investment Advisers LLC (HIXSON TN)

GA

09/26/2023 - 02/15/2024

PRUCO SECURITIES, LLC. (ATLANTA GA)

GA

04/28/2023 - 10/10/2023

WELLS FARGO CLEARING SERVICES, LLC (ATLANTA GA)

PA

03/19/2021 - 04/27/2022

CETERA INVESTMENT SERVICES LLC (SAYRE PA)

NY

06/07/2016 - 03/25/2021

LPL FINANCIAL LLC (JOHNSON CITY NY)

NY

09/22/2014 - 01/12/2016

FORESTERS FINANCIAL SERVICES, INC. (ENDICOTT NY)

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Licenses & Designations

IA

Issued 8/7/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/12/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/18/2017

Series 7 - General Securities Representative Examination

BC

Issued 9/4/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Nicholas Guccia. Review regulatory record here.
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