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Nicholas Thomas Carroll

Raymond James & Associates, Inc.

Tampa, FL

St. Petersburg, FL

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-26
  • FL RA
    APPROVED
    Since 2025-02-26

Branch Locations

Tampa, FL • United States

880 Carillon Parkway, St. Petersburg, FL 33716 • 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
Ubs Financial Services Weehawken NJ 08/2018 08/2022
Neville Wainio Cpas Pllc Saint Augustine FL 01/2018 07/2018
Ubs Financial Services Jacksonville FL 06/2017 09/2017
Education - Flagler College Saint Augustine FL 08/2014 05/2018
Ubs Asset Management (Us) Inc. New York NY 08/2022 05/2024
Ubs Financial Services Inc Tampa FL 05/2024 02/2025
Raymond James & Associates Inc. Saint Petersburg FL 02/2025 Present
  • 08/2018 → 08/2022
    Ubs Financial Services
    Weehawken, NJ
  • 01/2018 → 07/2018
    Neville Wainio Cpas Pllc
    Saint Augustine, FL
  • 06/2017 → 09/2017
    Ubs Financial Services
    Jacksonville, FL
  • 08/2014 → 05/2018
    Education - Flagler College
    Saint Augustine, FL
  • 08/2022 → 05/2024
    Ubs Asset Management (Us) Inc.
    New York, NY
  • 05/2024 → 02/2025
    Ubs Financial Services Inc
    Tampa, FL
  • 02/2025 → Present
    Raymond James & Associates Inc.
    Saint Petersburg, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-11
  • S66 Uniform Combined State Law Examination
    2021-10-11
Designations

View on SEC IAPD

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