DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicholas Thomas Carroll

Raymond James & Associates, Inc.national BDSt. Petersburg, Fl dual registrantIAPD 6793195
Chartered Financial Analyst
Feed of 09/15/2026
At current firm
1 y
since Feb 26, 2025
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Nicholas Thomas Carroll left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2025-02-26)
    Feb 11, 2025 · Advisor changed firm · fact
  • Nicholas Thomas Carroll left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2024-05-28)
    May 28, 2024 · Advisor changed firm · fact
  • Nicholas Thomas Carroll left Ubs Financial Services Inc. for Ubs Asset Management (Americas) Llc (registered 2023-04-26)
    Aug 2, 2022 · Advisor changed firm · fact
Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
12derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address