Nicholas Thomas is a registered investment advisor, based in Charlotte, NC, with 6 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Nicholas is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is not investment-related.
Employment History
Current Registrations
Vanguard Marketing Corporation
October 2020 - Present · 5 yrs 7 mos
Vanguard Advisers, INC.
October 2020 - Present · 5 yrs 7 mos
Vanguard Marketing CorporationBroker
October 2020 - Present · 5 yrs 7 mos
Previous Registrations
Edward Jones
September 2019 - September 2020 · 1 yr
Edward JonesBroker
September 2019 - September 2020 · 1 yr
State Registrations4 states
NCOHPATX
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.