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William Thomas Carrick

Nuveen Securities, LLC

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About William Thomas Carrick

William Thomas Carrick is a registered representative at Nuveen Securities, LLC and Tiaa-Cref Individual & Institutional Services, LLC. Carrick is licensed to sell securities in North Carolina.

Firm Information

William Carrick is currently registered with Nuveen Securities, LLC. Nuveen Securities, LLC is a Limited Liability Company formed in September 1967. The firm is registered in 53 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

66

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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William Carrick’s Registration & Firm History

NC

05/27/2020 - Present

Nuveen Securities, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 02/18/2020

Series 99TO - Operations Professional Examination

BC

Issued 01/13/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Thomas Carrick.
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