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Nick Hamilton: Hamilton Group Advisor Faces $255K Complaint

A recent investor complaint against Greenwood Village, Colorado financial advisor Nick Hamilton (CRD# 4900895) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as The Hamilton Group.

Mr. Hamilton’s BrokerCheck report discloses one investor complaint. Filed in December 2023, it alleges that as a representative of Raymond James Financial Services, he misrepresented the customer’s net worth in order to sell unsuitable insurance investments. The pending complaint alleges damages of $255,000.

Investors should be aware that FINRA Rule 2020 prohibits brokers like Mr. Hamilton from using “any manipulative, deceptive or other fraudulent device or contrivance” to effect securities transactions. In other words, they may not provide misleading information regarding the investments they recommend to their customers. Brokers who misrepresent products or strategies may be liable in the event of losses.

The Hamilton Group’s website includes a profile of Mr. Hamilton, the firm’s co-founder and Managing Director. “The Hamilton Group seeks first to understand the intended and unintended risks in a client’s investments and personal life,” it states. “Once the appropriate risk management framework is in place, they then strive to design financial plans to help grow wealth within a defined, repeatable, dynamic process.”

According to the Financial Industry Regulatory Authority, Nick Hamilton holds 18 years of securities industry experience. Based in Greenwood Village, Colorado, he has been registered as a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors since 2023. He does business as The Hamilton Group. His past registrations include Raymond James Financial Services (2017-2023), Morgan Stanley (2009-2017), Citigroup Global Markets (2008-2009), and Merrill Lynch (2005-2008). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maryland, Missouri, Montana, Nevada, North Carolina, South Dakota, Tennessee, and Texas. (Information current as of January 6, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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