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NG

Nicholas C. Gilmore

CAROLINA FINANCIAL SECURITIES
Brevard, NC 28712
Some features on this profile are disabled
CRD#: 5181593
NG

Professional summary

Nicholas Craig Gilmore, who also goes by Nicholas C Gilmore, is a registered financial professional currently at CAROLINA FINANCIAL SECURITIES, LLC located in Brevard, North Carolina and CAROFIN, LLC located in Brevard, North Carolina.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas C Gilmore

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) - BD

Click below to view Nicholas Craig Gilmore'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

August 31, 2006 - Present

CAROLINA FINANCIAL SECURITIES, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712
BD
CRD#: 41970
Brevard, NC
Current

July 31, 2019 - Present

CAROFIN, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712
BD
CRD#: 298717
Brevard, NC

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.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/30/2006
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CAROFIN, LLC
CAROFIN, LLC

CRD#: 298717 / SEC#: , 8-70224

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
100 Elks Club Rd., Brevard, NC 28712
Mailing Address
100 Elks Club Rd., Brevard, NC 28712
Phone number
(828) 393-0088
Established
North Carolina since 05/03/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAROLINA FINANCIAL SECURITIES, LLCMEMBER - COMMON41970
CAROFIN HOLDINGS, INC.MEMBER - COMMON
DRAKE, PHILIP CALVINMEMBER - PREFERRED
STAR, JOSHUA S.MEMBER - PREFERRED3244678
GILMORE, NICHOLAS CRAIGCTO, COO-CFO AND FINOP5181593
MILHAUPT, PETER STUARTMANAGER728310
ROBERTS, BRUCE VICTORCCO1489110

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.

Company Information

CAROFIN, LLC

CRD#: 298717Brevard, NC 28712

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