Nicholas Ricci

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-09-06
TX	RA	APPROVED_RES	2024-09-06

NY RA
APPROVED

Since 2024-09-06
TX RA
APPROVED_RES

Since 2024-09-06

Branch Locations

41 Notre Dame Ln, Utica, NY 13502 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Nicholas Ricci, Cpa	Utica	NY	11/1990	Present
Principal Securities Inc	Utica	NY	03/2016	09/2024
Lpl Financial Llc	Utica	NY	09/2024	Present

11/1990 → Present

Nicholas Ricci, Cpa

Utica, NY
03/2016 → 09/2024

Principal Securities Inc

Utica, NY
09/2024 → Present

Lpl Financial Llc

Utica, NY

Previous Registrations

2021-06-30 → 2024-09-23

Principal Securities, Inc.

Utica, NY

Utica, NY

Other Businesses

1 - 07/17/2024 - Nicholas Ricci, CPA - Tax Prep/Accounting/CPA - Inv Related - 60 Hours/Month - 1 Hour During Trading - NY 13502 - OBA Start Date: 11/01/1990.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-22
S63	Uniform Securities Agent State Law Examination	1997-10-29

S65 Uniform Investment Adviser Law Examination

1998-09-22
S63 Uniform Securities Agent State Law Examination

1997-10-29

View on SEC IAPD