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Inactive

Nicole Groomes-Kelly

Captrust

Alpharetta, GA

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2026-07-27
  • GA RA
    APPROVED
    Since 2026-07-27

Branch Locations

2500 Northwinds Parkway #250, Alpharetta, GA 30009 • 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
Ocean Heritage South Orange NJ 04/2003 09/2017
Td Ameritrade Southlake TX 05/2019 05/2021
Td Ameritrade New City NY 09/2018 02/2019
Unemployed Jersey City NJ 10/2017 09/2018
Fidelity Investments Cincinnati OH 06/2021 08/2024
Capfinancial Partners, Llc. (Captrust) Raleigh NC 12/2025 03/2026
Capfinancial Partners, Llc. (Captrust) Raleigh NC 03/2026 Present
Unemployed Lutz FL 09/2024 11/2025
  • 04/2003 → 09/2017
    Ocean Heritage
    South Orange, NJ
  • 05/2019 → 05/2021
    Td Ameritrade
    Southlake, TX
  • 09/2018 → 02/2019
    Td Ameritrade
    New City, NY
  • 10/2017 → 09/2018
    Unemployed
    Jersey City, NJ
  • 06/2021 → 08/2024
    Fidelity Investments
    Cincinnati, OH
  • 12/2025 → 03/2026
    Capfinancial Partners, Llc. (Captrust)
    Raleigh, NC
  • 03/2026 → Present
    Capfinancial Partners, Llc. (Captrust)
    Raleigh, NC
  • 09/2024 → 11/2025
    Unemployed
    Lutz, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-04-27
S63 Uniform Securities Agent State Law Examination 2019-07-19
  • S65 Uniform Investment Adviser Law Examination
    2026-04-27
  • S63 Uniform Securities Agent State Law Examination
    2019-07-19
Other Names
  • Nicole D Groomes
  • Nicole Diane Groomes
  • Nicole Diane Groomes-Kelly
  • Nicole Diane Groomes Kelly
  • Nicole Kelly
  • Nicole Diane Kelly

View on SEC IAPD

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Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

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