Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Lee Caringaral is a financial advisor with Raymond James Financial Services Advisors, Inc. Nicole has been in the financial services industry since 1998. Nicole holds a variety of licenses and certifications, including the Series 6, 7, 24, 52, 53, and 66 exams, and is a Certified Financial Planner. Nicole works with individuals, families, businesses, and institutions. Nicole is also a FINRA Arbitrator, which means that Nicole is a neutral third party who helps to resolve disputes between investors and brokers. Nicole's office is located in Chestertown, Maryland.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Hourly & fixed rate consultations
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
MD
09/29/2021 - Present
Raymond James Financial Services Advisors, Inc. (Chestertown MD)
FL
05/06/2020 - 06/12/2020
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
MD
11/01/2019 - 03/13/2020
LPL FINANCIAL LLC (CATONSVILLE MD)
FL
08/08/2006 - 10/28/2019
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
FL
11/21/1997 - 07/05/2006
T. ROWE PRICE INVESTMENT SERVICES, INC. (TAMPA FL)
BOTH
Issued 04/20/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2004
Series 4 - Registered Options Principal Examination
BC
Issued 04/09/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/11/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/18/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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