Nicole Lee Caringal

Current Employers

Employment History

• 08/2006 → 10/2019
  Raymond James Financial Services, Inc.
  St. Petersburg, FL
• 01/2009 → 10/2019
  Raymond James Financial Services Advisors Inc.
  St. Petersburg, FL
• 04/2020 → 06/2020
  Raymond James & Associates
  St Petersburg, FL
• 06/2020 → Present
  Raymond James Financial Services, Inc.
  Chestertown, MD
• 06/2020 → Present
  Raymond James Financial Services Advisors, Inc.
  Chestertown, MD
• 11/2019 → 03/2020
  Lpl Financial Llc
  Catonsville, Md, MD

Previous Registrations

• 2019-11-07 → 2020-03-13
  Lpl Financial Llc
  Catonsville, MD
• 2009-03-26 → 2019-10-28
  Raymond James Financial Services Advisors, Inc
  Saint Petersburg, FL
• 2006-08-24 → 2009-10-10
  Raymond James Financial Services, Inc.
  St Petersburg, FL
• 2005-04-26 → 2006-07-05
  T. Rowe Price Advisory Services, Inc.
  Tampa, FL

Other Businesses

(1)Name of Business: Address: 7824 Country Club Ln, Chestertown, MD, 21620, United States Activity Type: Other Position/Title: Other Investment Related: Yes Start Date: 09/01/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: FINRA Arbitrator (2)Name of Business: 336 Cannon, LLC Address: 7824 Country Club Ln, Chestertown, MD, 21620, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/01/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is my new office in which this entity will charge my DBA for office space. (3)Name of Business: Eastern Shore Financial Services, LLC Address: 336 Cannon St, Chestertown, MD, 21620, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 10/01/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Support Company Name for business which as of 8/1/2024 we hold out to the public (4)Name of Business: United Way of Kent County Address: 114 S Lynchburg St, Chestertown, MD, 21620-1522, United States Activity Type: Non profit Position/Title: Officer - Vice President, Board Member, Finance/Investment Committee Member, Subcommittee Member Investment Related: Yes Start Date: 08/28/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Responsible for setting the organization's mission, strategy, and goals, and ensuring that the organization operates in compliance with legal and ethical standards. I sit on the finance committee - we are required annually to review the allocation committees non-profits for sound business, P&L review, and budgets and to ensure they filed their 990. Allocation committee meets once a year and we allocate the donated funds to various local nonprofits that meet the United Ways objectives.

Exams

• S66 Uniform Combined State Law Examination
  2005-04-20
• S63 Uniform Securities Agent State Law Examination
  1997-12-16

Designations

Other Names

• Nicole Lee Sell
• Nicole Lee Sell
• Nicole Lee Vestal
• Nicole Lee Caringal
• Nicole Caringal