Nicholas G. Trotman

CANTON HATHAWAY LLC

Providence, RI 02903

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CRD#: 4283142

Professional summary

Nicholas Grave Trotman, who also goes by Nicholas Grave Trotman Mr., Nick Trotman, is a registered financial advisor currently at CANTON HATHAWAY LLC located in Providence, Rhode Island.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Nicholas has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Grave Trotman Mr. | Nick Trotman

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 Grave Trotman'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®

None

Experience

Current

July 18, 2018 - Present

CANTON HATHAWAY LLC

Office #1: One West Exchange Street Suite 3202, Providence, RI 02903

RIA

CRD#: 297527

Providence, RI

Past

March 10, 2017 - July 24, 2018

WHALEROCK POINT PARTNERS, LLC

RIA

CRD#: 140781

PROVIDENCE, RI

Past

March 2, 2004 - December 31, 2009

HIGH STREET ADVISORS, L.P

RIA

CRD#: 129492

MANCHESTER, MA

Past

February 11, 2004 - July 15, 2008

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

NEW YORK, NY

Past

December 19, 2000 - January 13, 2004

CANACCORD GENUITY LLC

CRD#: 1020

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".

CANTON HATHAWAY LLC

CRD#: 297527 / SEC#: 801-113544

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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

Florida
(2/29/2024)

IAR

Rhode Island
(7/18/2018)

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: 1/4/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/2000

General Securities Representative Examination

Current Firm

CANTON HATHAWAY LLC

CRD#: 297527 / SEC#: 801-113544

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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Contact information

Main Address

One West Exchange Street Suite 3202, Providence, RI 02903

Mailing Address

Phone number

(401) 433-7800

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 ANNUAL AMENDMENT BROCHURE 6/25 (6/16/2025)

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 672,683,658

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/30/2025	Cover Page	Report
01/16/2025	Cover Page	Report
11/01/2023	Cover Page	Report
01/06/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Nicholas G. Trotman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Grave Trotman's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHALEROCK POINT PARTNERS, LLC

HIGH STREET ADVISORS, L.P

MATRIX CAPITAL GROUP, INC.

CANACCORD GENUITY LLC

Primary Firm SEC Registration

CANTON HATHAWAY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/2024

Series 63

Date: 5/11/2001

Series 7

Date: 12/18/2000

Current Firm

CANTON HATHAWAY LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CANTON HATHAWAY LLC

TRUST BUT VERIFY

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