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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-10-10
  • SC RA
    APPROVED
    Since 2024-10-10

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

3837 Fifle St, Mount Pleasant, SC 29466 • United States

Mount Pleasant, SC • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Melville NY 04/2015 03/2020
Ameriprise Financial Services, Llc Melville NY 03/2020 10/2024
Lpl Financial Llc Mount Pleasant SC 10/2024 Present
Previous Registrations
  • 2015-04-24 → 2024-10-10
    Melville, NY
    Mount Pleasant, SC
    Mount Pleasant, SC
  • 2009-06-01 → 2015-05-05
    Jericho, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Jericho, NY
  • 2007-02-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Jericho, NY
  • 2003-11-17 → 2007-02-16
    Mitchell Field, NY
    Garden City, NY
Other Businesses

1) 08/2024 - Pecoraro Wealth Management / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 02/26/2025 - Pecoraro Wealth Management Inc - Not Investment Related - Business Entity For Tax/Investment Purposes Only - None - Start Date:11/15/2024 - 10 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-28
  • S66 Uniform Combined State Law Examination
    2002-03-28
Other Names
  • Nicholas R Pecoraro

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