Nita L. Charlton-gomes

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CRD#: 2886297

Professional summary

Nita Lynn Charlton-gomes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nita is a previously registered financial professional and started their career in finance in 2015. Prior to being barred, Nita had worked at 1 firm, which includes HOLLENCREST CAPITAL MANAGEMENT LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Nita Lynn Charlton | Nita L. Charlton-Gomes | Nita Lynn Doubek

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

August 14, 2015 - January 7, 2016

HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217

NEWPORT BEACH, CA

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".

HOLLENCREST CAPITAL MANAGEMENT, LLC

HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA

Registered Investment Advisory firm - SEC (10/2/1998 Approved)

Terminated by SEC on 01/14/2018

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 1/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 1/28/2015

Operations Professional Examination

Current Firm

HOLLENCREST CAPITAL MANAGEMENT, LLC

HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA

Registered Investment Advisory firm - SEC (10/2/1998 Approved)

Terminated by SEC on 01/14/2018

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Contact information

Main Address

100 Bayview Circle Suite 500, Newport Beach, CA 92660-8903

Mailing Address

Phone number

(949) 737-7700

Established

California since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOLLENCREST CAPITAL MANAGEMENT LLC - ADV PART 2A BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
PELLIZZON, GREGORY PAUL	MANAGING MEMBER	712667
PELLIZZON, PETER JOSEPH	CHIEF OPERATING OFFICER	1236771
PELLIZZON, PETER JOSEPH	CHIEF COMPLIANCE OFFICER	1236771
PELLIZZON, PETER JOSEPH	MANAGING PARTNER	1236771
PELLIZZON, PETER JOSEPH	ROSFP	1236771
WOLFORD, ROBERT BURR	MUNICIPAL SER. PRINCIPAL	1336627
WOLFORD, ROBERT BURR	FINOP	1336627
SCHULMAN, MICHAEL ASHLEY	MANAGING DIRECTOR	5044091
KONON, JAMES JR	ROSFP	2386644
KONON, JAMES JR	OPERATIONS MANAGER - AML OFFICER	2386644

Regulatory assets under management

Total Number of Accounts	1,296
AUM (Assets Under Management)	$ 2,667,216,370

Disclosures

Regulatory Event	2
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/20/2025	Cover Page	Report
10/21/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

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Nita L. Charlton-gomes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOLLENCREST CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

HOLLENCREST CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 1/7/2016

Series 99

Date: 1/28/2015

Current Firm

HOLLENCREST CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HOLLENCREST CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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