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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

NANCY K HOLSTEIN

Advisor at CETERA INVESTMENT ADVISERS LLC

MYSTIC, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ccc891ab-c10a-afca-ea06-1698d93b81d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 12, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 8, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 8, 2012
First registration: Nov 12, 2012
Dual registered: yes, broker-dealer
Other names: NANCY ARLINE KULIK|NANCY ARLINE KULIK|NANCY KULIK HOLSTEIN
IAPD individual key: 1018602

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MYSTIC, CT	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Apr 10, 2015	Jun 9, 2021	no	MYSTIC, CT\|BRAINTREE, MA\|GLASTONBURY, CT\|MYSTIC, CT\|WINDSOR, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 12, 2012	Jan 15, 2015	no	MYSTIC, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VOYA FINANCIAL ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Jun 9, 2021	Jun 29, 2023	750	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VOYA FINANCIAL ADVISORS, INC.	Jan 15, 2015	Apr 10, 2015	85	Firm change	Other

Relationships

Registered with (3)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 10, 2015 to Jun 9, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 12, 2012 to Jan 15, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccc891ab-c10a-afca-ea06-1698d93b81d4
First observed: Nov 12, 2012
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NANCY K HOLSTEIN

Advisor at CETERA INVESTMENT ADVISERS LLC

MYSTIC, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ccc891ab-c10a-afca-ea06-1698d93b81d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

CETERA INVESTMENT ADVISERS LLC

Bd affiliated wealth

Jun 29, 2023

n/a

yes

MYSTIC, CT

Current employment

VOYA FINANCIAL ADVISORS, INC.

Bd affiliated wealth

Apr 10, 2015

Jun 9, 2021

MYSTIC, CT|BRAINTREE, MA|GLASTONBURY, CT|MYSTIC, CT|WINDSOR, CT

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Nov 12, 2012

Jan 15, 2015

MYSTIC, CT

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

VOYA FINANCIAL ADVISORS, INC.

CETERA INVESTMENT ADVISERS LLC

Jun 9, 2021

Jun 29, 2023

750

Bulk transfer

Ibd to ibd

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VOYA FINANCIAL ADVISORS, INC.

Jan 15, 2015

Apr 10, 2015

Firm change

Other