Nicholas Laverghetta has been Managing Member/Chief Compliance Officer/President of NCM Capital Management since August 2009, is a control person of the firm and directly owns 75% or more of it. Nicholas Laverghetta holds a Bachelor of Arts from Gettysburg College.
NCM Capital Management, LLC is a Ramsey, NJ firm with $539M under management, 252 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Nicholas LaVerghetta is Founder and Principal of NCM Capital Management, LLC, an SEC-registered wealth advisory firm domiciled in New Jersey. He has over two decades of practice in the financial industry, including a wealth management firm, an institutional broker, a bank, a mutual fund company and a full service wirehouse. Before founding NCM he was a Senior Investment Advisor with Brinton Eaton Wealth Advisors. From 2000 to 2007 he worked at Fidelity Investments in Paramus, NJ, where he became Vice President in the Private Client Group.
Nicholas Laverghetta’s longest registration is the current one, 17 years at NCM Capital Management since 2009. Before joining NCM Capital Management in 2009, Nicholas Laverghetta was registered through Brinton Eaton and Strategic Advisers, Inc.
- NCM Capital Management, LLCCurrent– present · 17 yearsRamsey, NJ · Adviser representative · Firm CRD 151109
- Brinton Eaton– · 1 yearMadison, NJ · Adviser representative · Firm CRD 104846
- Strategic Advisers, Inc.– · 6 yearsParamus, NJ · Adviser representative · Firm CRD 104555
Professional designations
Listed by NCM Capital Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Nicholas Laverghetta is registered as an investment adviser representative in Texas, since December 2012.
- TexasSince 17 December 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 18 March 2003 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 21 February 2003 |
| Series 66 | Uniform Combined State Law Examination | 27 December 2000 |
| Series 55 | Limited Representative-Equity Trader Exam | 28 April 2000 |
| Series 3 | National Commodity Futures Examination | 4 April 1995 |
| Series 4 | Registered Options Principal Examination | 18 May 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 January 1993 |
| Series 7 | General Securities Representative Examination | 9 December 1992 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- National Commodity Futures Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Sebastian Laverghetta
- CRD
- 2296013
- Firm
- NCM Capital Management · CRD 151109
- Role
- Managing Member/Chief Compliance Officer/President
- Office
- 180 EAST MAIN STREET, Ramsey, NJ 07446
- Registration
- Investment adviser registration
- In the industry since
- November 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ncmcapitalmgmt.com
Where does Nicholas Laverghetta work?
Nicholas Laverghetta has been Managing Member/Chief Compliance Officer/President of NCM Capital Management, LLC since August 2009, and is a control person of the firm.
Is Nicholas Laverghetta a financial advisor?
Yes. Nicholas Laverghetta has a current investment-adviser registration in Texas, through NCM Capital Management since August 2009.
How many years of experience does Nicholas Laverghetta have?
Nicholas Laverghetta has 23 years in the financial industry, since November 2002, across 3 adviser firms.
What exams has Nicholas Laverghetta passed?
Nicholas Laverghetta has passed 8 licensing exams: the Series 7, Series 63, Series 4, Series 3, Series 55, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in December 1992.
Where did Nicholas Laverghetta work before NCM Capital Management?
Before NCM Capital Management, Nicholas Laverghetta was registered through Strategic Advisers, Inc., June 2002 to July 2008.
Where is Nicholas Laverghetta based?
Nicholas Laverghetta’s registered office is in Ramsey, NJ.
Is Nicholas Laverghetta registered with FINRA?
No. Nicholas Laverghetta has no current broker registration.
Is Nicholas Laverghetta a CFP?
NCM Capital Management lists Nicholas Laverghetta with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Nicholas LaVerghetta, CFP biography, ncmcapitalmgmt.com
How can I verify Nicholas Laverghetta’s record?
Search CRD 2296013 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Laverghetta’s full registration record.