Nicholas M. Caruso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Michael Caruso was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2022. Nicholas had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2025 - August 19, 2025
PROXY WEALTH ADVISORS LLC
June 5, 2023 - August 17, 2023
ALEXANDER CAPITAL, L.P.
May 20, 2022 - June 5, 2023
MONMOUTH CAPITAL MANAGEMENT LLC
Primary Firm SEC Registration
PROXY WEALTH ADVISORS LLC
CRD#: 298080 / SEC#: 801-128321
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 5/20/2022
General Securities Representative ExaminationCurrent Firm
PROXY WEALTH ADVISORS LLC
CRD#: 298080 / SEC#: 801-128321
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 90,035,000 |
Red Flags
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