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Nickolas Leroy Gould

LPl Financial LLC

Sacramento, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-08-15
  • CA RA
    APPROVED
    Since 2018-08-15

Branch Locations

520 Capitol Mall Ste 750, Sacramento, CA 95814 • 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
Wells Fargo Bank, N.A. Danville CA 07/2006 08/2018
Wells Fargo Advisors Llc Danville CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Danville CA 11/2016 08/2018
Lpl Financial Llc Roseville CA 08/2018 Present
California Bank & Trust (Zions Bank Affiliate) Roseville CA 08/2018 Present
  • 07/2006 → 08/2018
    Wells Fargo Bank, N.A.
    Danville, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Danville, CA
  • 11/2016 → 08/2018
    Danville, CA
  • 08/2018 → Present
    Roseville, CA
  • 08/2018 → Present
    California Bank & Trust (Zions Bank Affiliate)
    Roseville, CA
Previous Registrations
  • 2011-01-03 → 2018-08-17
    Dublin, CA
    Dublin, CA
    Oakland, CA
    Danville, CA
    Oakland, CA
    Walnut Creek, CA
    Oakland, CA
    Concord, CA
    Walnut Creek, CA
    Concord, CA
    San Ramon, CA
    Roseville, CA
    Roseville, CA
    Sacramento, CA
  • 2007-06-04 → 2011-01-03
    Wells Fargo Investments, Llc
    Oakland, CA
    Oakland, CA
Other Businesses

1. 8/15/2018 - CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2018 - Time Spent 100%. 2. 8/15/2018 - ZB, N.A. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Private Banking Relationship Manager - Started 07/30/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 8/15/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Notary Public - Started 07/01/2018 - 0 Hours Per Month - Time Spent 0%. 4. 11/28/2023 - No Business Name - Non Inv Related - Roseville, CA - Other - Online Sales - Start date: 7/1/2023 - 20 Hrs/Mo; 0 Hrs During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-01
  • S66 Uniform Combined State Law Examination
    2007-06-01

View on SEC IAPD

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