Carter J. Nichols
Professional summary
Carter J Nichols, who also goes by Carter James Nichols, is a registered financial professional currently at HILL SECURITIES LLC located in San Francisco, California.
Carter is registered as a RR (Registered Representative) and started their career in finance in 2022. Carter has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carter J Nichols's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2026 - Present
HILL SECURITIES LLC
Office #1: 501 2nd St, Suite 575, San Francisco, CA 94107August 4, 2025 - June 19, 2026
STONEHAVEN, LLC
February 28, 2022 - July 9, 2025
ALANTRA, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2026)
Exams
Series 7TO
Date: 8/22/2025
General Securities Representative ExaminationSeries 79TO
Date: 2/26/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HILL SECURITIES LLC
CRD#: 338653 / SEC#: , 8-71444
Contact information
FINRA licenses (1 States and Territories)
Documents
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
HILL SECURITIES LLC
CRD#: 338653San Francisco, CA 94107TRUST BUT VERIFY
Monitor Carter Nichols
Get automatic monthly alerts on:
