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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

NICHOLAS EDWARD CARON

Advisor at CITIGROUP GLOBAL MARKETS INC.

NEW YORK, NY | New York, NY

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Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 29, 2008 to Sep 17, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 28, 2008
First registration: Jul 29, 2008
Dual registered: yes, broker-dealer
Other names: NICHOLAS E CARON|NICHOLAS EDWARD CARON|NICHOLAS CARON
IAPD individual key: 5438891

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 6, 2019	n/a	yes	NEW YORK, NY\|New York, NY\|New York, NY	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	May 1, 2018	Apr 4, 2019	no	ROCKAWAY, NJ	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Mar 6, 2012	Mar 20, 2018	no	VOORHEES, NJ\|VOORHEES, NJ\|SICKLERVILLE, NJ\|HADDON HEIGHTS, NJ\|RUNNEMADE, NJ\|VOORHEES, NJ\|MT. HOLLY, NJ\|MARLTON, NJ\|MARLTON, NJ\|PLYMOUTH MEETING, PA\|VOORHEES, NJ\|MARLTON, NJ\|CONSHOHOCKEN, PA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 19, 2010	Mar 2, 2012	no	JERSEY CITY, NJ\|HOBOKEN, NJ\|JERSEY CITY, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 29, 2008	Mar 3, 2010	no	WEST ORANGE, NJ\|SHORT HILLS, NJ\|VERONA, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CITIGROUP GLOBAL MARKETS INC.	Apr 4, 2019	Jun 6, 2019	63	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Mar 20, 2018	May 1, 2018	42	Firm change	Ibd to ibd
CHASE INVESTMENT SERVICES CORP.	CITIZENS SECURITIES, INC.	Mar 2, 2012	Mar 6, 2012	4	Firm change	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	Mar 3, 2010	Mar 19, 2010	16	Firm change	Other

Relationships

Registered with (5)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Jun 6, 2019 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
May 1, 2018 to Apr 4, 2019factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Mar 6, 2012 to Mar 20, 2018factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 19, 2010 to Mar 2, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 29, 2008 to Mar 3, 2010factForm ADV

Dated events

No dated event names this entity yet.