Bill Nick Polizos

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
MD	RA	APPROVED	2023-07-11

MD RA
APPROVED

Since 2023-07-11

Branch Locations

8820 Columiba 100 Pkwy Ste 420, Columbia, MD 21045 • 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
Morgan Stanley	Bethesda	MD	09/2015	06/2017
Morgan Stanley Private Bank, National Association	New York	NY	03/2016	06/2017
Capital One Investing, Llc	Gaithersburg	MD	07/2017	07/2018
Capital One Advisors, Llc	Gaithersburg	MD	07/2017	07/2018
Pnc Investments Llc	Baltimore	MD	07/2018	06/2023
Lpl Financial Llc	Catonsville	MD	07/2023	Present

09/2015 → 06/2017

Morgan Stanley

Bethesda, MD
03/2016 → 06/2017

Morgan Stanley Private Bank, National Association

New York, NY
07/2017 → 07/2018

Capital One Investing, Llc

Gaithersburg, MD
07/2017 → 07/2018

Capital One Advisors, Llc

Gaithersburg, MD
07/2018 → 06/2023

Pnc Investments Llc

Baltimore, MD
07/2023 → Present

Lpl Financial Llc

Catonsville, MD

Previous Registrations

2018-07-23 → 2023-06-14

Pnc Wealth Management Llc

Catonsville, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Ellicot City, MD

Baltimore, MD
2017-08-03 → 2018-07-20

Capital One Advisors, Llc

Gaithersburg, MD

Mclean, VA
2016-02-05 → 2017-06-30

Morgan Stanley

Bethesda, MD

Potomac, MD

Other Businesses

1. 08/11/2023 - Retirement & Investment Group LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/11/2023 - 160 Hours Per Month/ 8 Hours During Trading 2. 08/11/2023 - Marniso Wealth Advisors Inc - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 08/01/2023 - 5 Hours Per Month/ 1 Hour During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-02-05

S66 Uniform Combined State Law Examination

2016-02-05

View on SEC IAPD