Nicole Caringal (CRD# 2959989) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Chestertown, MD and has over 26 years of experience in the finance industry. Nicole Caringal 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# 2185673
Cornerstone Advisory
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Avantax Advisory Services
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Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Eastern Shore Financial Services, LLC | Chestertown, MD | Oct 2021 - Current | 2 |
| Raymond James Financial Services Advisors, Inc. | Chestertown, MD | Jun 2020 - Current | 3 |
| Valliant Wealth Strategies | Chestertown, MD | Jun 2020 - Current | 3 |
| Raymond James Financial Services, Inc. | Chestertown, MD | Jun 2020 - Current | 3 |
| Raymond James & Associates | St Petersburg, FL | Apr 2020 - Jun 2020 | < 1 |
| Lpl Financial LLC | Catonsville, MD | Nov 2019 - Mar 2020 | < 1 |
| Raymond James Financial Services Advisors Inc. | St. Petersburg, FL | Jan 2009 - Oct 2019 | 10 |
| Raymond James Financial Services, Inc. | St. Petersburg, FL | Aug 2006 - Oct 2019 | 13 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Dec 1997 |
| S66 | NASAA Uniform Combined State Law Examination | Apr 2005 |
- MD
- TX
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Total Assets Under Management275,430MILLIONS
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Total Number of Accounts985,117ACCOUNTS
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Average Account Value$279,591
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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