Nicholas S. Carlin

CARLIN WEALTH MANAGEMENT GROUP

Austin, TX 78756

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CRD#: 4818630

Professional summary

Nicholas Stephen Carlin, CFP® is a registered financial advisor currently at CARLIN WEALTH MANAGEMENT GROUP, LLC located in Austin, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nicholas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Business Ownership; Monaco Car Club; President CEO and founder; It will be an exotic car share business for people who like to occasionally use an exciting car, but don't want the hassle of owning one.; Not Investment Related; June 2018; 1-9 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Stephen Carlin'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: 2011

Experience

Current

March 23, 2023 - Present

CARLIN WEALTH MANAGEMENT GROUP, LLC

Office #1: 4006 North Lamar Boulevard, Austin, TX 78756

RIA

CRD#: 325306

Austin, TX

Past

April 6, 2010 - March 28, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

February 20, 2007 - December 31, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

August 27, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 27, 2004 - March 28, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

AUSTIN, TX

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".

CARLIN WEALTH MANAGEMENT GROUP, LLC

CRD#: 325306 / SEC#: 801-127464

RIA

Registered Investment Advisory firm - (3/15/2023 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

Texas
(3/23/2023)

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: 10/15/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2004

General Securities Representative Examination

Current Firm

CARLIN WEALTH MANAGEMENT GROUP, LLC

CRD#: 325306 / SEC#: 801-127464

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

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Contact information

Main Address

4006 North Lamar Boulevard, Austin, TX 78756

Mailing Address

Phone number

(737) 414-6565

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

CWMG ADV PART 2A (2/4/2025)

Regulatory assets under management

Total Number of Accounts	1,009
AUM (Assets Under Management)	$ 195,750,000

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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Advisor Monitoring

Firm Stability Insights

Nicholas S. Carlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Stephen Carlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CARLIN WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2004

Current Firm

CARLIN WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARLIN WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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