Nicole Vento

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

• 05/2013 → 12/2017
  Hd Vest Investment Services
  Staten Island, NY
• 09/2005 → 04/2019
  John Vento Cpa, P.C.
  Staten Island, NY
• 08/2013 → 12/2017
  Pennsylvania State University
  State College, PA
• 06/2018 → 03/2023
  Goldman Sachs
  New York, NY
• 04/2023 → 07/2024
  Jpmorgan Chase Bank Na
  New York, NY
• 04/2023 → 07/2024
  Jpmorgan Securities Llc
  New York, NY
• 06/2017 → 08/2017
  Deloitte Tax Llp
  New York, NY
• 08/2024 → Present
  Vento Tax & Wealth Management Group
  Staten Island, NY
• 09/2024 → 09/2025
  Avantax Investment Services Inc.
  Staten Island, NY
• 09/2024 → 09/2025
  Avantax Advisory Services
  Staten Island, NY
• 01/2018 → 06/2018
  Vento Tax & Wealth Management Group
  Staten Island, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-09-20 → 2025-09-05
  Avantax Advisory Services
  Staten Island, NY
  Dallas, TX
• 2023-05-30 → 2024-07-20
  J.P. Morgan Securities Llc
  New York, NY

Other Businesses

1) THE VENTO ALPHA FUND, LP POSITION: Partner NATURE: I am a partner in my family's limited investment partnership, called Vento Alpha Fund LP. I am a 33% owner, which has a total value of $483k, bringing my share to around $159k. I do not make any investment decisions in this account, as the account investments are fully decided and managed by my father. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2011 ADDRESS: 95 New Dorp Lane, Staten Island NY 10306 DESCRIPTION: I do not have any responsiblites in this account outside of my 33% ownership. I am a passive partner. This brokerage account is held with Avantax. 2) VENTO TAX & WEALTH MANAGEMENT GROUP POSITION: Financial Advisor NATURE: I am working as a Financial Advisor registered through Avantax with Vento & and Wealth Management Group. The company provides financial services, including investment management, estate planning, and retirement planning. We operate managed investments. We also provide retirement accounts and annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 08/25/2024 ADDRESS: 95 New Dorp Lane, Staten Island NY 10306 DESCRIPTION: I will be serving client in a financial advisory capacity. I will be placing trades, rebalancing, and monitoring holdings for all client accounts. I will maintain relationships with clients. I will conduct investment reviews and client meetings for advisory clients. I will understand clients' financial goals, risk tolerances, and investment preferences to develop tailored advice. I will manage and grow our business through deepening relationships with existing clients as well as prospecting new clients. I will assist in the development and maintenance of all advisory models.

Exams

• S66 Uniform Combined State Law Examination
  2023-05-30
• S63 Uniform Securities Agent State Law Examination
  2014-07-17

Designations

• Certified Financial Planner

Other Names

• Nicole Marie Vento