Nicholas C Carter

Current Employers

Employment History

• 03/2015 → 08/2024
  Morgan Stanley Smith Barney Llc
  Washington, DC
• 07/2023 → Present
  Hockey North America
  Poolesville, MD
• 07/2023 → Present
  Southeastern Hockey Officials Association
  Poolesville, MD
• 08/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-12-19 → 2024-08-23
  Morgan Stanley
  Palm Beach Gardens, FL
  Boca Raton, FL
  Washington, DC
  South Jordan, UT
  Mclean, VA
  Washington, DC
• 2012-11-01 → 2012-12-10
  Securian Financial Services, Inc.
  Palm Beach Gardens, FL

Other Businesses

1. NAME OF OTHER BUSINESS: FINANCIAL ADVANTAGE ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES TO CLIENTS OF THE FIRM; 2. NAME OF OTHER BUSINESS: HOCKEY NORTH AMERICA INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENCE NATURE OF BUSINESS: RECREATIONAL ADULT HOCKEY LEAGUE START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: OFFICIAL / REFEREE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OFFICIATING ADULT HOCKEY; 3. NAME OF OTHER BUSINESS: SOUTHEASTERN HOCKEY OFFICIALS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENCE NATURE OF BUSINESS: OFFICIATING AMATEUR YOUTH AND ADULT HOCKEY START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: OFFICIAL / REFEREE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OFFICIATING AMATEUR HOCKEY GAMES;

Exams

• S66 Uniform Combined State Law Examination
  2012-10-27

Other Names

• Nicholar C Carter