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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-09-05
  • NY RA
    APPROVED
    Since 2025-09-05

Branch Locations

2000 Saranac Ave, Lake Placid, NY 12946 • United States

134 Boynton Ave, Plattsburgh, NY 12903 • United States

31 Elm Street, Malone, NY 12953 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Dragon Benware Cpas Malone NY 02/2009 Present
Avantax Investment Services, Inc. Malone NY 11/2012 09/2025
The Hoffman Eells Group Cpas, P.C. Malone NY 09/2015 Present
Avantax Advisory Services Malone NY 04/2014 09/2025
Cetera Wealth Services, Llc Lake Placid NY 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 02/2009 → Present
    Dragon Benware Cpas
    Malone, NY
  • 11/2012 → 09/2025
    Avantax Investment Services, Inc.
    Malone, NY
  • 09/2015 → Present
    The Hoffman Eells Group Cpas, P.C.
    Malone, NY
  • 04/2014 → 09/2025
    Avantax Advisory Services
    Malone, NY
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Lake Placid, NY
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2021-08-21 → 2025-09-05
    Avantax Advisory Services
    Malone, NY
    Plattsburgh, NY
    Lake Placid, NY
Other Businesses

31 Elm Inc.~'NIR'~31 Elm Street~Malone~NY~12953~Real Estate~Owner/Sole Proprietor~9/17/2015~5hrs~5hrs~A Real Estate company which owns and operates a commercial office building.|The Hoffman Eells Group CPAs, P.C.~'NIR'~31 Elm Street~Malone~NY~12953~Accounting Services/Tax Preparation~Owner~9/21/2015~160hrs~20hrs~I am the managing partner|HEG Advisory Services LLC~'NIR'~31 Elm Street~Malone~NY~12953~Other~Owner~1/1/2018~75hrs~20hrs~Sole Owner and Operator|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-12-28
  • S63 Uniform Securities Agent State Law Examination
    2013-12-28
Other Names
  • Nicholas Paul Eells
  • Nicholas Eells

View on SEC IAPD

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