AN
Austin L. Nicholas
PERFORMANCE TRUST CAPITAL PARTNERS
Charlotte, NC 28202
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CRD#: 5695770
AN
Professional summary
Austin Lincoln Nicholas is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in Charlotte, North Carolina.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2010. Austin has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Austin Lincoln Nicholas'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®
NoneExperience
Current
January 9, 2020 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Office #1: 500 E. Morehead Steet Suite 250, Charlotte, NC 28202BD
CRD#: 36155
Charlotte, NC
Past
July 2, 2018 - January 8, 2020
STEPHENS
RIA
CRD#: 3496
Portland, ME
Past
April 30, 2015 - January 8, 2020
STEPHENS
BD
CRD#: 3496
Portland, ME
Past
April 1, 2015 - May 12, 2015
PIPER SANDLER & CO.
BD
CRD#: 665
NEW YORK, NY
Past
May 14, 2014 - April 8, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
PORTLAND, ME
Past
October 14, 2010 - April 17, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/4/2024)
RR
Delaware(11/4/2024)
RR
District of Columbia(11/4/2024)
RR
Georgia(1/9/2020)
RR
Illinois(1/9/2020)
RR
Maine(11/4/2024)
RR
Massachusetts(11/4/2024)
RR
New Hampshire(11/4/2024)
RR
New Jersey(11/4/2024)
RR
New York(11/4/2024)
RR
North Carolina(1/9/2020)
RR
Pennsylvania(11/4/2024)
RR
Rhode Island(11/4/2024)
RR
Utah(12/20/2024)
RR
Vermont(11/4/2024)
RR
Virginia(11/4/2024)
RR
West Virginia(11/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/26/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PT
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BETZOLD RESEARCH AND TRADING, INC. | PT CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | BETZOLD, BERG, NUSSBAUM & HEITMAN, INC. | BETZOLD, BERG & NUSSBAUM, INC. | BETZOLD, BERG & ASSOCIATES, INC.
CRD#: 36155 / SEC#: 801-72427, 8-47035
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
500 W. Madison Suite 450, Chicago, IL 60661
Mailing Address
500 W. Madison Suite 450, Chicago, IL 60661
Phone number
(312) 521-1452
Established
Illinois since 10/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
357
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
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.
