Nicholas Caron
Nicholas Caron is a registered investment advisor at Citigroup Global Markets INC., based in New York, NY, with 17 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
CWM Retail, Sales, 170 West 72nd Street, New York, NY, 10023
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Regulatory History (1)
Customer Dispute
June 2015Employment History
Current Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Citizens Securities, INC.Broker
Citizens Securities, INC.
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
State Registrations15 states
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.