Nicholas Trotman has been Managing Director of Canton Hathaway since June 2018, is a control person of the firm and directly owns between 10% and 25% of it.
Canton Hathaway LLC is a Providence, RI firm with $866M under management, 96 clients and 5 advisers across 2 offices, as of its March 2026 filing.
Nicholas Trotman’s longest registration is the current one, 8 years at Canton Hathaway since 2018. Before joining Canton Hathaway in 2018, Nicholas Trotman was registered through Whalerock Point Partners, LLC and High Street Advisors, L.P.
- Canton Hathaway LLCCurrent– present · 8 yearsProvidence, RI · Adviser representative · Firm CRD 297527
- Whalerock Point Partners, LLC– · 1 yearProvidence, RI · Adviser representative · Firm CRD 140781
- High Street Advisors, L.P– · 5 yearsManchester, MA · Adviser representative · Firm CRD 129492
Investment adviser representative registrations
Nicholas Trotman is registered as an investment adviser representative in 2 states. The first approvals date from July 2018; the most recent is Florida, in February 2024.
- FloridaSince 29 February 2024
- Rhode IslandSince 18 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 4 January 2024 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 May 2001 |
| Series 7 | General Securities Representative Examination | 18 December 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Grave Trotman
- CRD
- 4283142
- Firm
- Canton Hathaway · CRD 297527
- Role
- Managing Director
- Office
- ONE WEST EXCHANGE STREET, SUITE 3202, Providence, RI 02903
- Registration
- Investment adviser registration
- In the industry since
- May 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Trotman work?
Nicholas Trotman has been Managing Director of Canton Hathaway LLC since June 2018, and is a control person of the firm.
Is Nicholas Trotman a financial advisor?
Yes. Nicholas Trotman has a current investment-adviser registration in Florida and Rhode Island, through Canton Hathaway since July 2018.
How many years of experience does Nicholas Trotman have?
Nicholas Trotman has 15 years in the financial industry, since May 2011, across 3 adviser firms.
What exams has Nicholas Trotman passed?
Nicholas Trotman has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in December 2000.
Where did Nicholas Trotman work before Canton Hathaway?
Before Canton Hathaway, Nicholas Trotman was registered through High Street Advisors, L.P, March 2004 to December 2009.
Where is Nicholas Trotman based?
Nicholas Trotman’s registered office is in Providence, RI.
Is Nicholas Trotman registered with FINRA?
No. Nicholas Trotman has no current broker registration.
How can I verify Nicholas Trotman’s record?
Search CRD 4283142 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Trotman’s full registration record.