Nicholas A. Faulkner

INTEGRA WEALTH

Cary, NC

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CRD#: 6908869

Professional summary

Nicholas Andrew Faulkner, CFP®, who also goes by Nicholas Faulkner, Nick Andrew Faulkner, is a registered financial advisor currently at INTEGRA WEALTH located in Cary, North Carolina.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nicholas has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Faulkner | Nick Andrew Faulkner

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 Andrew Faulkner'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

Experience

Current

May 8, 2025 - Present

INTEGRA WEALTH

RIA

CRD#: 149999

Cary, NC

Past

August 14, 2024 - February 27, 2025

TRIANGLE WEALTH MANAGEMENT

RIA

CRD#: 148156

RALEIGH, NC

Past

May 28, 2024 - August 1, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

April 4, 2022 - August 1, 2024

DFA SECURITIES LLC

CRD#: 10292

CHARLOTTE, NC

Past

January 3, 2019 - January 28, 2022

BEACON FINANCIAL STRATEGIES CORP.

RIA

CRD#: 132987

RALEIGH, NC

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

North Carolina
(5/8/2025)

IAR

Tennessee
(7/29/2025)

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

Series 63

Date: 4/22/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/3/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/4/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/14/2022

Securities Industry Essentials Examination

Current Firm

INTEGRA WEALTH

INTEGRA WEALTH | INTEGRA WEALTH, LLC

CRD#: 149999 / SEC#:

Georgia

Registered Investment Advisory firm - (7/17/2015 Approved)

Louisiana

Registered Investment Advisory firm - (11/9/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (5/8/2025 Approved)

Tennessee

Registered Investment Advisory firm - (4/17/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

101 W. 21st Street, Chattanooga, TN 37408

Mailing Address

Phone number

(423) 664-0344

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	401
AUM (Assets Under Management)	$ 84,157,045

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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Nicholas A. Faulkner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Andrew Faulkner's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRA WEALTH

TRIANGLE WEALTH MANAGEMENT

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

BEACON FINANCIAL STRATEGIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/2022

Series 65

Date: 1/3/2019

Series 7TO

Date: 4/4/2022

SIE

Date: 2/14/2022

Current Firm

INTEGRA WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INTEGRA WEALTH

TRUST BUT VERIFY

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