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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-04-29 |
Branch Locations
5446 Tennessee Highway 153, Hixson, TN 37343 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Vestal | NY | 06/2016 | 03/2021 |
| N B T Bank, N.A. | Vestal | NY | 06/2016 | 03/2021 |
| Citizens & Northern Bank | Sayre | PA | 03/2021 | 08/2021 |
| Cetera Investment Advisers Llc | Sayre | PA | 08/2021 | 04/2023 |
| Wells Fargo Clearing Services, Llc | Atlanta | GA | 04/2023 | 09/2023 |
| The Prudential Insurance Company Of America | Atlanta | GA | 09/2023 | 02/2024 |
| Pruco Securities Llc | Atlanta | GA | 09/2023 | 02/2024 |
| Cetera Investment Services Llc | Saint Cloud | MN | 04/2024 | Present |
| Cetera Investment Advisers Llc | Hixson | TN | 04/2024 | Present |
| Regions Bank | Hixson | TN | 04/2024 | Present |
1.) NICHOLAS GUCCIA LLC, REAL ESTATE RENTAL AND DEVELOPMENT, 100% OWNER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-12 |
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