Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Caron is an investment advisor representative with Citigroup Global Markets Inc., registered in New Jersey and New York. Nicholas has been in the industry since 2008. Previous firms that Nicholas Caron was affiliated with include Raymond James Financial Services, Inc., Citizens Securities, Inc., Chase Investment Services Corp., and Wells Fargo Advisors, LLC. Nicholas Caron holds licenses for Series 66, Series 7, and SIE. Nicholas Caron specializes in various areas including asset allocation, financial planning, pension consulting, portfolio management, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NJ
03/29/2018 - 04/04/2019
RAYMOND JAMES FINANCIAL SERVICES, INC. (ROCKAWAY NJ)
NJ
03/06/2012 - 03/20/2018
CITIZENS SECURITIES, INC. (MARLTON NJ)
NJ
03/19/2010 - 03/02/2012
CHASE INVESTMENT SERVICES CORP. (JERSEY CITY NJ)
NJ
07/08/2008 - 03/03/2010
WELLS FARGO ADVISORS, LLC (VERONA NJ)
BOTH
Issued 07/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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