Nicholas Harvey Gums

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → 01/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  El Cerrito, CA
• 10/2014 → 01/2017
  Bank Of America, N.A.
  El Cerrito, CA
• 01/2017 → 09/2017
  Mufg Union Bank
  San Ramon, CA
• 02/2017 → 09/2017
  Unionbanc Investment Services
  San Ramon, CA
• 09/2017 → 03/2023
  Td Ameritrade
  San Francisco, CA
• 01/2022 → 03/2023
  Charles Schwab & Co., Inc.
  San Francisco, CA
• 07/2022 → 03/2023
  Charles Schwab Bank, Ssb
  San Francisco, CA
• 10/2017 → 03/2023
  Td Ameritrade Investment Management, Llc
  San Francisco, CA
• 04/2023 → Present
  Lpl Financial Llc
  Oakland, CA
• 04/2023 → Present
  Fremont Bank
  Oakland, CA

Previous Registrations

• 2022-02-01 → 2023-03-21
  Charles Schwab & Co., Inc.
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
• 2022-06-28 → 2023-03-21
  Td Ameritrade Investment Management, Llc
  San Francisco, CA
  San Francisco, CA
• 2022-06-28 → 2022-10-14
  Td Ameritrade, Inc.
  San Francisco, CA
  San Francisco, CA
• 2017-10-12 → 2022-06-14
  Td Ameritrade, Inc.
  San Francisco, CA
• 2017-10-12 → 2022-06-14
  Td Ameritrade Investment Management, Llc
  San Francisco, CA
• 2017-02-16 → 2017-10-04
  U.S. Bancorp Advisors, Llc
  San Ramon, CA
• 2014-11-07 → 2017-02-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brentwood, CA
  Albany, CA
  El Cerrito, CA
  Livermore, CA
  El Cerrito, CA
• 2012-10-01 → 2014-11-03
  J.P. Morgan Securities Llc
  Concord, CA
  Concord, CA
  Walnut Creek, CA
  Walnut Creek, CA
  Walnut Creek, CA
  Walnut Creek, CA
• 2011-06-27 → 2012-10-01
  Chase Investment Services Corp.
  Livermore, CA
  Concord, CA
  San Ramon, CA
  San Francisco, CA
• 2011-01-03 → 2011-05-09
  Wells Fargo Clearing Services, Llc
  Concord, CA
• 2009-02-09 → 2011-01-03
  Wells Fargo Investments, Llc
  Concord, CA
  Concord, CA
  Concord, CA

Other Businesses

1) 4/2023 - Fremont Bank - Financial Institution Duty - Investment related - Oakland, CA - Wealth Management Private Banker - Start date 4/10/2023 - 80 Hrs per month 2) 4/2023 - FB Investment Services - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams

• S66 Uniform Combined State Law Examination
  2009-02-07

Other Names

• Nick Gums
• Nicholas H Gums
• Nicholas Gums