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Nicholas Harper Ciampanelli

Cetera Investment Advisers LLC

New Haven, CT

CRD 7625143

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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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-01-17
  • CT RA
    APPROVED
    Since 2025-01-17

Branch Locations

555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • 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
Guardian Life Insurance Company New Haven CT 10/2022 01/2025
Quinnipiac University Hamden CT 08/2018 05/2022
Dave's Fresh Marketplace Coventry RI 01/2017 08/2018
Student Coventry RI 01/2013 01/2017
National Financial Network New Haven CT 05/2022 10/2022
Park Avenue Securities Llc New Haven CT 02/2023 01/2025
Cetera Wealth Services, Llc El Segundo CA 01/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2025 Present
  • 10/2022 → 01/2025
    Guardian Life Insurance Company
    New Haven, CT
  • 08/2018 → 05/2022
    Quinnipiac University
    Hamden, CT
  • 01/2017 → 08/2018
    Dave's Fresh Marketplace
    Coventry, RI
  • 01/2013 → 01/2017
    Student
    Coventry, RI
  • 05/2022 → 10/2022
    National Financial Network
    New Haven, CT
  • 02/2023 → 01/2025
    New Haven, CT
  • 01/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2025 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE - VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2022 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: DOORDASH, INC.; INVESTMENT RELATED: NO; ADDRESS: 338 TOWN COLONY DRIVE, MIDDLETOWN, CT 06457; NATURE OF BUSINESS: FOOD DELIVERY; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: DASHER APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: FOOD / ORDER DELIVERY; 3. NAME OF OTHER BUSINESS: FOUNDATION 4 ORPHANS; INVESTMENT RELATED: NO; ADDRESS: 90 JULIAN DR, HAMDEN, CT 06518; NATURE OF BUSINESS: BOARD; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: TREASURER | BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTAIN ADEQUATE AND ACCURATE ACCOUNTS OF ALL PROPERTIES AND TRANSACTIONS OF THE NON-PROFIT; 4. NAME OF OTHER BUSINESS: BNI - CT CONNECTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRAL MARKETING; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: MEMBER | VICE PRESIDENT | EVENT COORDINATOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: CONSISTENT ATTENDANCE AND ACTIVE NETWORKING, MONITOR PERFORMANCE METRICS AND ENSURE COMPLIANCE WITH BNI POLICY, & ORGANIZE CHAPTER SOCIALS; 5. NAME OF OTHER BUSINESS: QUINNIPIAC CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORKING ORGANIZATION; START DATE: 03/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NETWORKING, EVENTS, & BUSINESS DEVELOPMENT; 6. NAME OF OTHER BUSINESS: GREATER NEW HAVEN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORKING ORGANIZATION; START DATE: 03/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NETWORKING, EVENTS, & BUSINESS DEVELOPMENT BUSINESS ADVOCATE, RESOURCE FOR MEMBERS, PROMOTE ECONOMIC GROWTH; 7. NAME OF OTHER BUSINESS: MAGILLA NETWORKING PLATFORM; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORKING PLATFORM; START DATE: 05/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FACILITATE PROFESSIONAL NETWORKING AND RELATIONSHIP-BUILDING WITH THE GOAL OF DEVELOPING POTENTIAL CLIENT CONNECTIONS, AI POWERED;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-02
  • S66 Uniform Combined State Law Examination
    2023-05-02

View on SEC IAPD

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