Nicholas Carter is a registered investment advisor, based in Rockville, MD, with 13 years of industry experience.
Location
2101 Gaither Rd, Suite 600, Rockville, MD, 20850
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2023Settled
Other Business Activities
Nicholas provides financial services to clients of Financial Advantage Associates, dedicating full-time hours to this role. He also works as a hockey referee for two different organizations, spending a few hours per week on each.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
August 2024 - Present · 1 yr 9 mos
Cetera Investment Advisers LLC
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Morgan Stanley
December 2012 - August 2024 · 11 yrs 8 mos
Morgan StanleyBroker
December 2012 - August 2024 · 11 yrs 8 mos
Securian Financial Services, INC.
November 2012 - December 2012 · 1 mo
Securian Financial Services, INC.Broker
September 2012 - December 2012 · 3 mos
State Registrations9 states
CODCFLGAMDNYSCVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.