Neil Norman Nichols

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2017-08-18
TX	RA	APPROVED_RES	2009-03-19
CO	RA	APPROVED	2003-11-04

NV RA
APPROVED

Since 2017-08-18
TX RA
APPROVED_RES

Since 2009-03-19
CO RA
APPROVED

Since 2003-11-04

Branch Locations

Corinth, TX • United States

8191 Southpark Ln #104, Littleton, CO 80120 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Littleton	CO	06/2001	Present

06/2001 → Present

Lpl Financial, Llc

Littleton, CO

Other Businesses

1. 1/18/2006: NON-VARIABLE INSURANCE - INTENTIONAL WEALTH, INC. - INTENTIONAL WEALTH INC. IS BUSINESS SUCCESSION PLAN FROM GLENDA L. NICHOLS, #N4EA, TO NEIL N. NICHOLS. GLENDA IS PRESIDENT, NEIL IS VICE PRESIDENT - SEE OTHER OFFICERS BELOW. CONTINUING TO USE JOINT ID 3CHB FOR ALL CURRENT AND NEW IN-STATE BUSINESS. - TIME SPENT 100% - LITTLETON, CO. 2. 4/24/2013: OTHER-NOTARY PUBLIC - TO BE A NOTARY TO HELP MY CLIENTS WITH FORMS THAT REQUIRE A NOTARY STAMP INSTEAD OF THE MEDALLION SIGNATURE GUARANTEE STAMP - I.E. 401K ROLLOVER PAPERWORK FROM THE CURRENT CUSTODIAN. - 1% OF TIME SPENT - LITTLETON, CO. 3. 11/01/2016 - Intentional Wealth, Inc. - Non-Variable Insurance Trails Only - Investment Related - At Reported Business Location(s) - Start Date 01/18/2006 - 2 Hours Per Month/ During Trading 4. 08/16/2024 - Intentional Wealth, Inc. - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/01/2006 - 40 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-12-11

S66 Uniform Combined State Law Examination

2001-12-11