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Nicole Effner

Cetera Advisors LLC

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About Nicole Effner

Nicole Effner is a financial advisor with Cetera Advisors LLC. She has been in the industry since March 26, 2024. Nicole holds a Series 7TO and SIE license. Her current office location is 655 W BROADWAY 12TH FL, SAN DIEGO, CA 92101.

Firm Information

Nicole Effner is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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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Nicole Effner’s Registration & Firm History

CA

03/27/2024 - Present

Cetera Advisors LLC (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 03/27/2024

Series 7TO - General Securities Representative Examination

BC

Issued 08/20/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Effner.
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