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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
CA RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

301 E Colorado Blvd. Ste 400, Pasadena, CA 91101 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Grace Wealth Management Pacific Palisades CA 03/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Grace Wealth Group Pacific Palisades CA 08/2025 Present
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2021 → Present
    Grace Wealth Management
    Pacific Palisades, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 08/2025 → Present
    Grace Wealth Group
    Pacific Palisades, CA
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: LIFE AND LTC 2.NAME OF OTHER BUSINESS: GRACE WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: GRACE WEALTH GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-13
S63 Uniform Securities Agent State Law Examination 1997-02-05
  • S65 Uniform Investment Adviser Law Examination
    1997-02-13
  • S63 Uniform Securities Agent State Law Examination
    1997-02-05
Designations
Other Names
  • Nicole Taylor Giauque

View on SEC IAPD

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