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Nicholas John Stam

LPl Financial LLC

Syracuse, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
TX RA APPROVED 2020-03-16
  • NY RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED
    Since 2020-03-16

Branch Locations

300 E Washington St Apt 1011 Stam Associates, Syracuse, NY 13202 • 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
Lpl Financial, Llc Fayetteville NY 06/2019 10/2019
Lpl Financial, Llc Fayetteville NY 10/2019 Present
Manlius Pebble Hill School Syracuse NY 08/2017 Present
East Area Volunteer Emergency Services East Syracuse NY 08/2018 09/2019
Suny Upstate Medical University Syracuse NY 08/2011 09/2019
Tismart Brewerton NY 12/2018 08/2019
  • 06/2019 → 10/2019
    Fayetteville, NY
  • 10/2019 → Present
    Fayetteville, NY
  • 08/2017 → Present
    Manlius Pebble Hill School
    Syracuse, NY
  • 08/2018 → 09/2019
    East Area Volunteer Emergency Services
    East Syracuse, NY
  • 08/2011 → 09/2019
    Suny Upstate Medical University
    Syracuse, NY
  • 12/2018 → 08/2019
    Tismart
    Brewerton, NY
Other Businesses

1. 3/17/2020 - Stam Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/16/2020 - 160 Hours Per Month During Securities Trading. 2. 10/8/2021 - Manlius Pebble Hill School - Not Investment Related - 5300 Jamesville Rd, Syracuse, NY 13214 - Outside/W-2 Employment - Head Cross Country Coach - Started 08/01/2017 - 10 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-26
  • S66 Uniform Combined State Law Examination
    2020-02-26

View on SEC IAPD

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