Nichole Mccarthy is a registered investment advisor, based in Westport, CT, with 24 years of industry experience. Nichole is also registered as a broker, so some compensation may come from commissions on products sold.
Location
19 Ludlow Road, Suite 202, Westport, CT, 06880
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Regulatory History (1)
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Financial
August 2017Final
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2026 - Present · 9 mos
Raymond James Financial Services, INC.Broker
January 2026 - Present · 9 mos
Previous Registrations
Ameriprise Financial Services, LLC
February 2020 - January 2026 · 5 yrs 11 mos
Ameriprise Financial Services, LLCBroker
February 2020 - January 2026 · 5 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
March 2014 - February 2020 · 5 yrs 11 mos
Wells Fargo Clearing Services, LLC
March 2014 - February 2020 · 5 yrs 11 mos
Morgan Stanley
June 2009 - March 2014 · 4 yrs 9 mos
Morgan StanleyBroker
June 2009 - March 2014 · 4 yrs 9 mos
Morgan Stanley & CO. Incorporated
April 2008 - June 2009 · 1 yr 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2008 - June 2009 · 1 yr 2 mos
UBS Financial Services INC.
June 2002 - April 2008 · 5 yrs 10 mos
UBS Financial Services INC.Broker
March 2002 - April 2008 · 6 yrs 1 mo
State Registrations33 states
AZCACOCTDCDEFLGAIAILINKSKYMAMDMEMIMOMSNCNHNJNYOHOKORPARISCTNTXVAWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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