Nicholas Gardner (CRD# 5777904) is an Investment Advisor Representative working at The Financial Team, Inc. in Carlsbad, CA and has over 13 years of experience in the finance industry. Nicholas Gardner has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2730478
Madison Avenue Securities, LLC
CRD# 5084834
The Wealth Consulting Group
CRD# 2946276
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Great Point Capital, LLC | Chicago, IL | May 2023 - Current | < 1 |
| The Financial Team | Carlsbad, CA | May 2011 - Current | 12 |
| Jrl Capital Corporation | Newport Beach, CA | Sep 2020 - May 2023 | 2 |
| Independent Financial Group | Carlsbad, CA | Mar 2020 - Sep 2020 | < 1 |
| Rance King Securities | Long Beach, CA | May 2011 - Feb 2020 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 2010 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- AZ
- CA
- TX
-
Total Assets Under Management0MILLIONS
-
Total Number of Accounts0ACCOUNTS
-
Average Account Value$0
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other
- Financial planning services
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AZ, CA, TX
About Wealthminder
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.