Nicholas David Faller
Investment adviser representative at Osaic Advisory Services, LLC
11 yearsExperience
3 statesRegistered in
CFP® certificationDesignation
$15.5BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Osaic Advisory Services, LLCDec 2025 to now
- Osaic WealthDec 2025 to now
- Cetera Advisors LLCNov 2023 to Dec 2025
- Cetera Investment Advisers LLCJun 2023 to Dec 2025
- Cetera Advisor Networks LLCFeb 2023 to Dec 2025
- Cetera AdvisorsSep 2022 to Feb 2023
- Sageview AdvisorySep 2021 to Dec 2025
- First Allied Securities, IncJul 2020 to Sep 2022
- First Allied Advisory Services, Inc.Jul 2020 to Nov 2020
- Citizens BankJun 2019 to Jun 2020
- Citizens Securities Inc.Jun 2019 to Jun 2020
- AXA Advisors, LLCNov 2015 to Jun 2019
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 65 · Uniform Investment Adviser Law2019
State registrations
Registered as an investment adviser representative in 3 states (CA, MI, TX).
Osaic Advisory Services, LLC
$15.5BAssets managed
29,898Clients
348Advisers
12 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6494504
- Firm CRD
- 171070