Nicholas P. Carteaux
Professional summary
Nicholas Paul Carteaux, who also goes by Nicholas P Carteaux, is a registered financial professional currently at OM PARTNERS, LLC located in Brentwood, Tennessee.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1999. Nicholas has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Paul Carteaux's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2023 - Present
OM PARTNERS, LLC
Office #1: 8 Crooked Stick Lane, Brentwood, TN 37027June 13, 2002 - April 1, 2022
BRENTWOOD CAPITAL ADVISORS LLC
January 26, 1999 - June 17, 1999
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/18/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
OM PARTNERS, LLC
CRD#: 323351 / SEC#: , 8-70992
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OM PARTNERS HOLDCO, LLC | MEMBER | |
| CARTEAUX, NICHOLAS PAUL | CO-CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 2648301 |
| GREGG, REBECCA BLADES | CO-CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER | 5689958 |
| JEONG, JACK SANG HOON | CO-CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER | 5580812 |
| NAVEED, HASNAIN NMN | FINOP | 7004810 |
Red Flags
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