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Nicholas Reid Maley

LPl Financial LLC

Chicago, IL

Oak Brook, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-04-24
TX RA APPROVED 2024-04-24
  • IL RA
    APPROVED
    Since 2024-04-24
  • TX RA
    APPROVED
    Since 2024-04-24

Branch Locations

Chicago, IL • United States

1211 West 22Nd Street, Ste 209, Oak Brook, IL 60523 • 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
University Of South Carolina Columbia SC 08/2012 12/2016
Morgan Stanley Columbus OH 07/2017 03/2024
Huntington National Bank Columbus OH 03/2017 06/2017
Lpl Financial Llc Oak Brook IL 04/2024 Present
  • 08/2012 → 12/2016
    University Of South Carolina
    Columbia, SC
  • 07/2017 → 03/2024
    Morgan Stanley
    Columbus, OH
  • 03/2017 → 06/2017
    Huntington National Bank
    Columbus, OH
  • 04/2024 → Present
    Lpl Financial Llc
    Oak Brook, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-20
S63 Uniform Securities Agent State Law Examination 2017-08-15
  • S66 Uniform Combined State Law Examination
    2018-12-20
  • S63 Uniform Securities Agent State Law Examination
    2017-08-15
Other Names
  • Nicholas Reid Maley

View on SEC IAPD

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