Best Investors Account Sign in
Inactive

Nicholas J Gardner

The Financial Team, Inc.

Carlsbad, CA

Claim This Profile
Current Employers
The Financial Team, Inc.

6790 Embarcadero Lane Suite 100, Carlsbad, CA 92011 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-07
AZ RA APPROVED 2021-10-27
CA RA APPROVED 2014-10-16
  • TX RA
    APPROVED_RES
    Since 2023-04-07
  • AZ RA
    APPROVED
    Since 2021-10-27
  • CA RA
    APPROVED
    Since 2014-10-16

Branch Locations

6790 Embarcadero Lane Suite 100, Carlsbad, CA 92011 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Financial Team Carlsbad CA 05/2011 Present
Rance King Securities Long Beach CA 05/2011 02/2020
Independent Financial Group Carlsbad CA 03/2020 09/2020
Jrl Capital Corporation Newport Beach CA 09/2020 05/2023
Great Point Capital, Llc Chicago IL 05/2023 06/2025
  • 05/2011 → Present
    The Financial Team
    Carlsbad, CA
  • 05/2011 → 02/2020
    Rance King Securities
    Long Beach, CA
  • 03/2020 → 09/2020
    Independent Financial Group
    Carlsbad, CA
  • 09/2020 → 05/2023
    Jrl Capital Corporation
    Newport Beach, CA
  • 05/2023 → 06/2025
    Great Point Capital, Llc
    Chicago, IL
Previous Registrations
Other Businesses

Insurance Agent; Not investment-related; 6790 Embarcadero Lane #100, Carlsbad. CA 92011; Insurance sales; Licensed Agent; Since 2011; Approx 10 hrs/mo during trading hours; CA insurance sales offering various types of insurance products.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-05-21
  • S63 Uniform Securities Agent State Law Examination
    2010-05-21
Designations
Other Names
  • Nick Gardner

View on SEC IAPD

Other Firms

INTELLIGENCE DRIVEN ADVISERS, LLC
COTTINGHAM MANAGEMENT COMPANY, LLC
CORONADO INVESTMENT ADVISORS, LLC
FINANCIAL PLANNING SOLUTIONS, INC.
PFS INVESTMENTS INC.
COMMONWEALTH FINANCIAL NETWORK
FRANK FINANCIAL ADVISORS
LPL FINANCIAL LLC

Other Investors

JASON RICHARD LABRUM
Samuel Bowman Wheeler
Thomas Ohanesian
JORDIE ELIZABETH CZAPINSKI
ROBERT EDWARD PATERSON
ALEX KLINGENSMITH
Brittney Nicole Partow
Nolan Tyler Martin

Other Offices

INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
COTTINGHAM MANAGEMENT COMPANY, LLC · CARLSBAD, CA
CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
FINANCIAL PLANNING SOLUTIONS, INC. · CARLSBAD, CA
PFS INVESTMENTS INC. · CARLSBAD, CA
COMMONWEALTH FINANCIAL NETWORK · CARLSBAD, CA
FRANK FINANCIAL ADVISORS · CARLSBAD, CA
LPL FINANCIAL LLC · CARLSBAD, CA

More in Carlsbad, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor