Nicole Caringal
Nicole Caringal is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Chestertown, MD, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
336 Cannon St., Chestertown, MD, 21620
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Nicole is a FINRA arbitrator, a partner in 336 Cannon, LLC and Palmer House, LLC (both rental real estate), and the owner of Eastern Shore Financial Services, LLC (a support company). She dedicates minimal time to her role as a FINRA arbitrator and Eastern Shore Financial Services, a few hours per week to Palmer House, LLC, and minimal time to 336 Cannon, LLC.
Employment History
Current Registrations
Raymond James Financial Services, INC.
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Raymond James & Associates, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services
Raymond James Financial Services, INC.Broker
T. Rowe Price Advisory Services, INC.
T. Rowe Price Investment Services, INC.Broker
State Registrations25 states
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