Nicholas John Casagrande

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2011 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2011 → Present
  Staxclinic
  San Rafael, CA
• 03/2011 → 03/2018
  Nc Financial Group
  San Francisco, CA
• 03/2018 → Present
  Nc Financial Group
  San Francisco, CA
• 05/2022 → Present
  Pidgeon Point, Llc
  San Francisco, CA
• 08/2022 → Present
  Mendocino Barkery
  San Francisco, CA

Other Businesses

1)DEPARTMENT OF REAL ESTATE; NOT INV REL; SAN FRANCISCO, CA; REAL ESTATE SALESMAN; 1-2 HRS/WK: 2) NOTARY FOR STATE OF CA; NOT INV REL; SAN FRANCISCO, CA; SINCE 1/1/08; 1-2 HRS/WK; ONCALL NOTARY BUSINESS: 3) STAXCLINIC; NOT INV REL; SAN RAFAEL, CA; TAXES WITH POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS; PARTNER; START DATE 1/1/11; 40 HRS/MTH, 6 DURING SECURITIES TRADING HRS: 4) NICHOLAS CASAGRANDE; INV REL; ADDRESS IS THE REGISTERED LOCATION; HEALTH INS WITH ANTHEM AND BLUE SHIELD OF CALIFORNIA; START DATE 05/15; 3 HRS/WEEK, VARIES DURING AND AFTER SECURITIES TRADING HRS: 5)NAME OF OTHER BUSINESS: NC FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL, TAX, PAYROLL, REAL ESTATE, TAX ID & INSURANCE ; POSITION/TITLE/RELATIONSHIP: OWNER ; START: 3/2018 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 DUTIES: ALL DUTIES INCLUDING POA FOR IRS AND OTHER TAX MATTERS ; 6) NAME OF OTHER BUSINESS: PROACTIVE TAX SOLUTIONS INVESTMENT RELATED: NO ADDRESS: 5768 PARADISE DRIVE, CORTE MADERA, CA 94925 ; NATURE OF BUSINESS: TAX PRACTICE ; START: 10/2020 ; POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; DUTIES:TAX PREPARATION AND REPRESENTATION 7)NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: REAL ESTATE ; START: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; DUTIES: PURCHASE OF A VACANT LOT ACROSS THE STREET FROM THE OFFICE ; 8) NAME OF OTHER BUSINESS: PIDGEON POINT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LLC TO PURCHASE COMMERCIAL PROPERTIES; START: 05/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3; DUTIES: OWNER/PRESIDENT MANAGE COMMERCIAL PROPERTY; 9) NAME OF OTHER BUSINESS: MENDOCINO BARKERY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PET STORE; START: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; DUTIES: OWNER - RESPONSIBLE FOR PROFIT AND LOSSES 10) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 5649 PARADISE DRIVE STE 4, CORTE MADERA, CA, 94925, NATURE OF BUSINESS: BUSINESS RENTAL, START: 12/2022, POSITION/TITLE/RELATIONSHIP: LANDLORD AND BROKER, LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS DUTIES: LANDLORD AND BROKER, LEASING TO A BEATY SALON; 11) NAME OF OTHER BUSINESS: NC FINANCIAL GROUP - A WEALTH MANAGEMENT COMPANY, ; NC FINANCIAL GROUP - WEALTH MANAGEMENT, INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL, TAX, PAYROLL, REAL ESTATE, TAX ID & INSURANCE ; POSITION/TITLE/RELATIONSHIP: OWNER ; START: 10/2024 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 B DUTIES: DBAS FOR MARKETING; 12) NAME OF OTHER BUSINESS: MENDOCINO BALLET; INVESTMENT RELATED: NO; ADDRESS: 205 SOUTH STATE ST, UKIAH, CA 95482; NATURE OF BUSINESS: BOARD; START: 11/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER TREASURER; APX # OF HRS/WK & DUR TRD HRS: 3; DUTIES: WORK WITH DIRECTOR & BOOKKEEPER ON ANNUAL BUDGET & FUNDRAISE, ASSIST WITH BOOKKEEPING;

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-02-05
• S63 Uniform Securities Agent State Law Examination
  2011-01-15

Other Names

• Nicholas J Casagrande