Nicholas G. Garrett
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 G Garrett, who also goes by Nicholas G Garrett, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2024. Nicholas had worked at 3 firms and has passed the Series 66, Series 99TO, 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
May 13, 2025 - December 12, 2025
PER STIRLING CAPITAL MANAGEMENT, LLC
April 30, 2025 - December 11, 2025
B.B. GRAHAM & COMPANY, INC.
April 19, 2024 - September 3, 2024
CAPITAL CLIENT GROUP, INC.
March 15, 2024 - September 3, 2024
CAPITAL CLIENT GROUP, INC.
Primary Firm SEC Registration
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 4/30/2025
Operations Professional ExaminationSeries 7TO
Date: 3/15/2024
General Securities Representative ExaminationCurrent Firm
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,584 |
| AUM (Assets Under Management) | $ 1,387,216,441 |
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.
