Nicholas Joseph Fazio

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

• 09/2012 → Present
  Lpl Financial Llc
  Woburn, MA

Other Businesses

1. 1/23/2014 - Fazio PPW, Corp. - Investment Related - Business Entity For Tax/Investment Purposes Only - For Accounting Purposes Only. 2. 10/15/2015 - NO BUSINESS NAME - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 03/20/2007 - 1 Hour Per Month During Securities Trading - Notary Public with the state of MA. 3. 3/16/2020 - Winchester Public Schools - Not Investment Related - 40 Samoset Rd, Winchester MA - Other-Coach - H.S. Football Coach - Started 08/01/2018 - 20 Hours Per Month/0 Hour During Securities Trading. 4. 12/7/2021 - Forward Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/23/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 5. 03/17/2022 - Forward Always Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/18/2022 - 160 Hours Per Month/8 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-28
• S63 Uniform Securities Agent State Law Examination
  2005-12-06

Other Names

• Nick Joseph Fazio
• Nicholas Fazio