Nicole C. Carson

2ND STORY WEALTH PLANNERS

Plymouth Meeting, PA

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CRD#: 4271088

Professional summary

Nicole Camille Carson, CFP®, who also goes by Nicole C Carson, Nicole Carson, Nicole C Proctor, Nicole Camille Proctor, Nicole Camille Vargas, is a registered financial advisor currently at 2ND STORY WEALTH PLANNERS located in Plymouth Meeting, Pennsylvania.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nicole has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole C Carson | Nicole Carson | Nicole C Proctor | Nicole Camille Proctor | Nicole Camille Vargas

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.

(1) Name: FINRA. Investment-related: Yes. Address: 1700 K Street, NW, Washington, DC 20006. Nature: Customer complaint arbitration. Position/Title: Arbitrator. Start Date: 10/2023. Approximate Number of Hours Per Month: 1-5. Approximate Number of Hours Per Month During Securities Trading Hours: 1-5. Duties: Participate in arbitration panels to hear and decide disputes between opposing parties. (2) Name: SmartPath, Inc. Investment-related: No. Address: 2451 Cumberland Pkwy SE, Suite 3608, Atlanta, GA 30339. Nature: Financial literacy and wellness. Position/Title: Financial Coach. Start Date: 3/2024. Approximate Number of Hours Per Month: 30-40. Approximate Number of Hours Per Month During Securities Trading Hours: 30-40. Duties: Provide clients of SmartPath with coaching on budgeting, managing and paying down debt, homebuying, car buying, and general financial organization.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Camille Carson's 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: 2021

Experience

Current

March 16, 2023 - Present

2ND STORY WEALTH PLANNERS

RIA

CRD#: 325409

Plymouth Meeting, PA

Past

April 26, 2022 - December 2, 2022

BRUNCH & BUDGET, LLC

RIA

CRD#: 226756

Plymouth Meeting, PA

Past

February 10, 2015 - April 5, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

October 26, 2011 - April 5, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

January 26, 2007 - October 6, 2011

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

February 2, 2006 - November 13, 2006

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ALLENTOWN, PA

Past

January 27, 2004 - December 31, 2005

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

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

Maryland
(8/15/2024)

IAR

Pennsylvania
(3/16/2023)

IAR

Texas
(8/29/2024)

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 65

Date: 2/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2014

General Securities Principal Examination

Current Firm

2ND STORY WEALTH PLANNERS

CRD#: 325409 / SEC#:

Maryland

Registered Investment Advisory firm - (8/15/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/16/2023 Approved)

Texas

Registered Investment Advisory firm - (8/26/2024 Conditional Restricted)

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Contact information

Main Address

Plymouth Meeting, PA

Mailing Address

600 W Germantown Pike Suite 400, Mb # 233, Plymouth Meeting, PA 19462

Phone number

(215) 714-7144

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 3,600,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Firm Stability Insights

Nicole C. Carson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Camille Carson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRUNCH & BUDGET, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

PNC WEALTH MANAGEMENT LLC

CUNA BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2015

Series 63

Date: 2/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2011

Series 6

Date: 1/26/2004

Series 24

Date: 12/3/2014

Current Firm

2ND STORY WEALTH PLANNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

2ND STORY WEALTH PLANNERS

TRUST BUT VERIFY

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