Nicholas Thomas Poulos

Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• SOLICITATION SERVICES FOR OTHER ADVISERS

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

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

Current Employers

Employment History

• 12/2000 → 01/2018
  Cbt Bank
  Clearfield, PA
• 12/2008 → 01/2018
  Sorrento Pacific Financial, Llc
  San Diego, CA
• 01/2018 → 10/2022
  Cetera Investment Advisers Llc
  Clearfield, PA
• 01/2018 → 10/2022
  Riverview Bank
  Clearfield, PA
• 01/2018 → 10/2022
  Cetera Investment Services Llc
  St. Cloud, MN
• 10/2022 → Present
  Infinex Investments, Inc.
  Meriden, CT
• 10/2022 → Present
  Mid Penn Bank
  Harrisburg, PA

Previous Registrations

• 2018-01-16 → 2022-09-30
  Cetera Investment Advisers Llc
  Clearfield, PA
• 2014-12-02 → 2018-01-12
  Sorrento Pacific Financial, Llc
  Dubois, PA
  San Diego, CA
  Clearfield, PA
  Huntingdon, PA
• 2005-04-11 → 2008-12-12
  Uvest Financial Services Group, Inc.
  Clearfield, PA
  Clearfield, PA
  Dubois, PA

Other Businesses

1.) BOARD MEMBER OF SALVATION ARMY; ASSIST IN FUND RAISERS. Started in 2019. Approx 1 hour per month.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-11-25
• S63 Uniform Securities Agent State Law Examination
  1990-03-29

Designations

• Chartered Financial Consultant

Other Names

• Nick Poulos