Carly P. Nixon

CAPITAL CONSULTING & ASSET MANAGEMENT

Frisco, CO

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CRD#: 7852099

Professional summary

Carly P Nixon is a registered financial advisor currently at CAPITAL CONSULTING & ASSET MANAGEMENT located in Frisco, Colorado.

Carly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Carly has worked at 1 firm and has passed the SIE exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Part time Professor for Colorado Mountain College. Non-investment related. 333 Fiedler Avenue, Dillon, CO 80435. Teach English (ELL) to Spanish speaking students. Started in June 2014 to present. Approximately 45 hours per month but no hours devoted during security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carly P Nixon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 8, 2024 - Present

CAPITAL CONSULTING & ASSET MANAGEMENT

RIA

CRD#: 41438

Frisco, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL CONSULTING & ASSET MANAGEMENT

CAPITAL CONSULTING & ASSET MANAGEMENT | CHASE INVESTMENT CONSULTING, INC. | CAPITAL CONSULTING & ASSET MANAGEMENT, INC.

CRD#: 41438 / SEC#: 801-52357

RIA

Registered Investment Advisory firm - (7/3/1996 Approved)

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

Colorado
(10/8/2024)

IAR

Nebraska
(10/8/2024)

IAR

Washington
(10/8/2024)

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

General Industry/Product Exam

SIE

Date: 9/14/2024

Securities Industry Essentials Examination

Current Firm

CAPITAL CONSULTING & ASSET MANAGEMENT

CAPITAL CONSULTING & ASSET MANAGEMENT | CHASE INVESTMENT CONSULTING, INC. | CAPITAL CONSULTING & ASSET MANAGEMENT, INC.

CRD#: 41438 / SEC#: 801-52357

RIA

Registered Investment Advisory firm - (7/3/1996 Approved)

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Contact information

Main Address

140 N. 8th Street 410 The Apothecary, Lincoln, NE 68508

Mailing Address

Phone number

(402) 477-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL CONSULTING & ASSET MANAGEMENT (10/23/2025)

Regulatory assets under management

Total Number of Accounts	1,605
AUM (Assets Under Management)	$ 182,163,713

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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Carly P. Nixon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carly P Nixon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CONSULTING & ASSET MANAGEMENT

Primary Firm SEC Registration

CAPITAL CONSULTING & ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

SIE

Date: 9/14/2024

Current Firm

CAPITAL CONSULTING & ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL CONSULTING & ASSET MANAGEMENT

TRUST BUT VERIFY

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