Nicholaus Zachary Pandeleos

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
TX	RA	APPROVED_RES	2025-05-31
CA	RA	APPROVED	2022-03-10

TX RA
APPROVED_RES

Since 2025-05-31
CA RA
APPROVED

Since 2022-03-10

Branch Locations

40325 Winchester Rd, Temecula, CA 92591 • United States

1278 Rocky Point Drive, Oceanside, CA 92056 • United States

8945 Cal Center Drive, Sacramento, CA 95826 • United States

2454 Vista Way, Oceanside, CA 92054 • United States

1645 S Centre City Pkwy Ste B, Escondido, CA 92025 • United States

36290 Hidden Springs Road Suite A & B, Wildomar, CA 92595 • United States

995 Armory Road, Barstow, CA 92311 • United States

57402 29 Palms Hwy Ste 6, Yucca Valley, CA 92284 • United States

670 W San Marcos Blvd Ste 101, San Marcos, CA 92078 • United States

Building 15 Mcagcc, Twentynine Palms, CA 92278 • 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

Organization	City	State	From	To
Golden 1 Credit Union	Sacramento	CA	07/2020	05/2023
Symposium Restaurant	Davis	CA	05/2020	02/2021
Independent Internship	Sacramento/Remote	CA	08/2020	03/2021
Upper Crust Pizza	San Luis Obispo California	CA	08/2017	07/2018
Cuesta College	San Luis Obispo	CA	08/2015	05/2018
University Of Arkansas	Fayetteville	AR	08/2018	05/2020
Lpl Financial Llc	Sacramento	CA	08/2020	03/2021
Lpl Financial Llc	Temecula	CA	03/2021	Present

07/2020 → 05/2023

Golden 1 Credit Union

Sacramento, CA
05/2020 → 02/2021

Symposium Restaurant

Davis, CA
08/2020 → 03/2021

Independent Internship

Sacramento/Remote, CA
08/2017 → 07/2018

Upper Crust Pizza

San Luis Obispo California, CA
08/2015 → 05/2018

Cuesta College

San Luis Obispo, CA
08/2018 → 05/2020

University Of Arkansas

Fayetteville, AR
08/2020 → 03/2021

Lpl Financial Llc

Sacramento, CA
03/2021 → Present

Lpl Financial Llc

Temecula, CA

Other Businesses

1) 06/14/2023 - Frontwave Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/16/2023 - 160 Hours Per Month/ 80 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-07

S66 Uniform Combined State Law Examination

2022-03-07

View on SEC IAPD