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Detailed Report
NICOLE TAYLOR RYAN
NICOLE TAYLOR GIAUQUE
CRD#: 2619949
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
Registration History
1996199820002002200420062008201020122014201620182020202220242026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)1997 - Present (27 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1997 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1995 - 1996 (<1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)1998 - 2023 (25 years)
License(s)

State Registrations

B
Arizona 12/14/2018
B
Maryland 4/14/2023
B
Arkansas 2/8/2019
B
Nevada 3/30/2020
B
California 12/5/1997
B
New Mexico 1/4/2010
IA
California 6/29/2023
B
New York 1/5/2024
B
Colorado 1/4/2011
B
North Carolina 3/1/2017
B
Florida 8/6/2013
B
Ohio 3/20/2025
B
Hawaii 2/8/2019
B
Oklahoma 2/21/2019
B
Idaho 2/8/2019
B
Oregon 2/7/2022
B
Illinois 2/8/2019
B
Tennessee 4/14/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
PACIFIC PALISADES, CA
Registered with this firm since 12/5/1997
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/30/1998 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) LA CANADA, CA
B
 01/30/1997 - 10/03/1997 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 09/15/1995 - 03/11/1996 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.