Nicholas Daniel Deering

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2017-08-17

WI RA
APPROVED

Since 2017-08-17

Branch Locations

4703 Madison Yards Way Ste 102, Madison, WI 53705 • United States

825 South Taylor Drive, Sheboygan, WI 53081 • United States

Waunakee, WI • 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

Organization	City	State	From	To
Maritime Financial Group	Sheboygan	WI	08/2009	08/2017
Cambridge Investment Research, Inc.	Fairfield	IA	08/2014	07/2017
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	08/2014	07/2017
Cetera Financial Specialists, Llc	Schaumburg	IL	08/2017	Present
Cetera Investment Advisers, Llc	Schaumburg	IL	08/2017	Present
Huberty Cpas	Port Washington	WI	08/2017	09/2023
Huberty Wealth Management	Sheboygan	WI	08/2017	09/2023
Huberty & Associates S.C, Dba Vesta	Fond Du Lac	WI	09/2023	Present
Vesta	Fond Du Lac	WI	09/2023	Present

08/2009 → 08/2017

Maritime Financial Group

Sheboygan, WI
08/2014 → 07/2017

Cambridge Investment Research, Inc.

Fairfield, IA
08/2014 → 07/2017

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
08/2017 → Present

Cetera Financial Specialists, Llc

Schaumburg, IL
08/2017 → Present

Cetera Investment Advisers, Llc

Schaumburg, IL
08/2017 → 09/2023

Huberty Cpas

Port Washington, WI
08/2017 → 09/2023

Huberty Wealth Management

Sheboygan, WI
09/2023 → Present

Huberty & Associates S.C, Dba Vesta

Fond Du Lac, WI
09/2023 → Present

Vesta

Fond Du Lac, WI

Previous Registrations

2014-08-13 → 2017-08-03

Cambridge Investment Research Advisors, Inc.

Sheboygan, WI
2013-01-25 → 2014-08-14

Financial Telesis Inc

San Rafael, CA

Sheboygan, WI
2009-10-28 → 2013-02-19

Principal Securities, Inc.

Sheboygan, WI
2009-10-01 → 2009-10-27

Lpl Financial Llc

San Diego, CA

Sheboygan, WI
2008-07-18 → 2009-07-30

Waddell & Reed

Waukesha, WI

Other Businesses

1) NAME OF OTHER BUSINESS: HUBERTY & ASSOCIATES S.C, dba VESTA. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION START DATE: 09/2023, NATURE OF BUSINESS: PUBLIC ACCOUNTING FIRM APX # OF HOURS PER WEEK: 15 APX # OF HOURS DURING TRADING HOURS: 15, POSITION/TITLE/RELATIONSHIP: PART OWNER: GENERAL DUTIES: TAX & ACCOUNTING SERVICES 2) VESTA, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 09/2023, PART OWNER, APX NUMBER OF HOURS PER WEEK: 45, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3) NAME OF OTHER BUSINESS: VESTA CPAS, S.C.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: EXECUTIVE COMMITTEE MEMBER, SHAREHOLDER, SIGNING AUTHORITY, SOME EXPENSE DISCRETION;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-30

S66 Uniform Combined State Law Examination

2008-05-30

Designations

View on SEC IAPD