Nicholas Allen Carr

Current Employers

Employment History

• 10/2010 → Present
  Hodges University
  Naples, FL
• 02/2011 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Naples, FL
• 11/2011 → Present
  Bank Of America, N.A.
  Naples, FL

Previous Registrations

• 2005-06-03 → 2011-02-28
  Charles Schwab & Co., Inc.
  Naples, FL
  Naples, FL
• 2004-09-08 → 2005-01-25
  Banc Of America Investment Services, Inc.
  Fort Myers, FL
• 2002-09-12 → 2004-05-28
  Wells Fargo Clearing Services, Llc
  Naples, FL

Other Businesses

HODGES UNIVERSITY, NON-INVESTMENT RELATED, NAPLES, FL 34119, COLLEGE, LECTURER, START DATE 10/2010, LESS THAN 20 HOURS PER MONTH, 2 HOURS DURING TRADING, I WILL BE TEACHING A COURSE ON THE TOPIC OF BEHAVIORAL FINANCE. IT WILL BE NON-PAID AND THE TOTAL TEACHING/LECTURE TIME COMMITMENT IS APPROX. 4 HOURS. THAT IS, IT WILL BE TWO LECTURES, EACH LASTING TWO HOURS. I*40864 For profit or not for profit: Non-Profit Organization Name of outside business organization: Kansas State University Investment related: N Address of business: Manhattan, Kansas 66502 Nature of business: Other,Non-Profit Position, title, association: Other, instructor, lecturer, researcher Start date of relationship: 5/15/2011 Number of hours devoted: 100 hour(s) Annually Number of hours devoted during trading hours: 10 Duties: I have taught (since 2010) a behavioral finance course through Kansas State University. It is not sales related in anyway, but strictly educational, teaching a set curriculum, and presenting research occasionally (ex. conferences/journals). I*79911 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: IMCA INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREENWOOD VILLAGE, COLORADO 80111 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 9/1/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IMCA GOVERNMENT RELATIONS COMMITTEE, VOLUNTEER IMCA S GRC ACTS AS AN ADVISORY WORKGROUP, PROVIDING GUIDANCE AND DIRECTION TO STAFF AND GOVERNMENT RELATIONS ADVISORS. THE COMMITTEE PROVIDES IMCA MEMBERS WITH LEGISLATIVE UPDATES AND DISCUSSES TOPICS. I*123101 For profit or not for profit: Non-Profit Organization Name of outside business organization: Florida Gulf Coast University Investment related: N Address of business: Ft. Myers, Florida 33965 Nature of business: Charitable Organization Position, title, association: Part-Time, Start date of relationship: 8/12/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: See my other teaching responsibilities already approved in AIM for KSU. Exact same-teaching and lecturing a behavioral finance course at FGCU. I*1818272, Entity Type Entity For Profit, Name of OBA: Selkirk Pickleball Address: Hayden, Idaho, 83835 Investment Related: No Position, Title, Association: Other Employee Start Date: 05/08/2024No Hours: 2 weekly No Hours during trading: 0 Duties: promote pickleball and use Selkirk apparel and equipment as they are sponsor me. They will infrequently give me promotions on gear, apparel, and referrals.

Exams

• S66 Uniform Combined State Law Examination
  2001-08-15

Other Names

• Nick Allen Carr