Nicholas Alan Niver

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	2022-10-31
OK	RA	APPROVED	2022-09-19

TX RA
APPROVED

Since 2022-10-31
OK RA
APPROVED

Since 2022-09-19

Branch Locations

Edmond, OK • United States

360 Kingsley Park Dr Ste 100, Fort Mill, SC 29715 • 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
Raymond James	Oklahoma City	OK	09/2018	09/2022
Unemployed	Oklahoma City	OK	03/2018	09/2018
Integris Health	Oklahoma City	OK	08/2015	03/2018
Lpl Financial Llc	Edmond	OK	09/2022	Present

09/2018 → 09/2022

Raymond James

Oklahoma City, OK
03/2018 → 09/2018

Unemployed

Oklahoma City, OK
08/2015 → 03/2018

Integris Health

Oklahoma City, OK
09/2022 → Present

Lpl Financial Llc

Edmond, OK

Previous Registrations

2018-11-15 → 2022-10-06

Raymond James & Associates, Inc.

Oklahoma City, OK

Other Businesses

1) 9/2022- Niver Financial- DBA for LPL Business (entity for LPL business)- inv. related- Edmond, OK 2) 09/06/2024 - NivCord LLC - Subject to change - has not been created yet - Rep's Business - Not Investment Related - various Location(s) - Start Date 08/01/2024 - 10 Hours Per Month/ 1 Hour During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-11-07

S66 Uniform Combined State Law Examination

2018-11-07

Other Names

Nick Alan Niver

View on SEC IAPD