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Nicolas Rich

LPl Financial LLC

El Paso, TX

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-02
  • TX RA
    APPROVED
    Since 2021-03-02

Branch Locations

El Paso, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors Dallas TX 09/2011 01/2017
Lincoln Financial Advisors Mansfield TX 01/2017 03/2021
Lpl Financial, Llc Mansfield TX 03/2021 Present
  • 09/2011 → 01/2017
    Valic Financial Advisors
    Dallas, TX
  • 01/2017 → 03/2021
    Lincoln Financial Advisors
    Mansfield, TX
  • 03/2021 → Present
    Lpl Financial, Llc
    Mansfield, TX
Previous Registrations
  • 2017-01-30 → 2021-03-01
    Osaic Fa, Inc.
    Midlothian, TX
    Mansfield, TX
  • 2012-01-26 → 2017-02-24
    Valic Financial Advisors, Inc.
    Addison, TX
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-07
S63 Uniform Securities Agent State Law Examination 2008-11-20
  • S65 Uniform Investment Adviser Law Examination
    2012-01-07
  • S63 Uniform Securities Agent State Law Examination
    2008-11-20
Other Names
  • Nick Rich
  • Nicolas Rich

View on SEC IAPD

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