Nicholas S. Laverghetta

NCM CAPITAL MANAGEMENT

Ramsey, NJ 07446

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CRD#: 2296013

Professional summary

Nicholas Sebastian Laverghetta, CFP®, who also goes by Nicholas Laverghetta, Nick Laverghetta, is a registered financial advisor currently at NCM CAPITAL MANAGEMENT, LLC located in Ramsey, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Nicholas has worked at 8 firms and has passed the Series 66, Series 63, Series 55, Series 3, Series 7, Series 10, Series 9 and Series 4 exams.

Biography

Nick resides in Bergen County, New Jersey with his wife, Kelly and 3 children. He enjoys spending time with his family at the New Jersey shore, playing a lot of basketball, golf, and tennis, and loves coaching his kid's youth sports teams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Education Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Nicholas Laverghetta | Nick Laverghetta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Sebastian Laverghetta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

August 31, 2009 - Present

NCM CAPITAL MANAGEMENT, LLC

Office #1: 180 East Main Street, Ramsey, NJ 07446

RIA

CRD#: 151109

Ramsey, NJ

Past

December 15, 2008 - August 20, 2010

BRINTON EATON

RIA

CRD#: 104846

MADISON, NJ

Past

June 12, 2002 - July 15, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PARAMUS, NJ

Past

July 31, 2000 - February 27, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PARAMUS, NJ

Past

May 5, 1999 - April 27, 2000

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

October 3, 1994 - March 9, 1999

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

August 2, 1993 - August 16, 1994

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

December 14, 1992 - February 22, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NCM CAPITAL MANAGEMENT, LLC

CRD#: 151109 / SEC#: 801-101518

RIA

Registered Investment Advisory firm - (7/24/2015 Approved)

New Jersey

Registered Investment Advisory firm - (7/29/2015 Terminated)

New York

Registered Investment Advisory firm - (7/28/2015 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(8/31/2009)

IAR

Texas
(12/17/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/27/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/28/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 4/4/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/18/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/21/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 5/18/1994

Registered Options Principal Examination

Current Firm

NCM CAPITAL MANAGEMENT, LLC

CRD#: 151109 / SEC#: 801-101518

RIA

Registered Investment Advisory firm - (7/24/2015 Approved)

New Jersey

Registered Investment Advisory firm - (7/29/2015 Terminated)

New York

Registered Investment Advisory firm - (7/28/2015 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2015 Terminated)

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Contact information

Main Address

180 East Main Street, Ramsey, NJ 07446

Mailing Address

Phone number

(201) 529-1429

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 NCM FORM ADV PART 2A (5/19/2025)

Regulatory assets under management

Total Number of Accounts	633
AUM (Assets Under Management)	$ 430,724,032

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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Nicholas S. Laverghetta

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Sebastian Laverghetta's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRINTON EATON

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

C. J. M. PLANNING CORP.

BGC FINANCIAL, L.P.

PERSHING LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

NCM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2000

Series 63

Date: 1/7/1993

Series 55

Date: 4/28/2000

Series 3

Date: 4/4/1995

Series 7

Date: 12/9/1992

Series 10

Date: 3/18/2003

Series 9

Date: 2/21/2003

Series 4

Date: 5/18/1994

Current Firm

NCM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NCM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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