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Kevin Grant Nichols

LPl Financial LLC

Oklahoma City, OK

CRD 5722355

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-06-09
OK RA APPROVED 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2022-06-09
  • OK RA
    APPROVED
    Since 2013-12-09

Branch Locations

Oklahoma City, OK • 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 Oklahoma City OK 12/2013 Present
Previous Registrations
  • 2010-04-12 → 2013-12-13
    Waddell & Reed
    Edmond, OK
Other Businesses

1. 1/7/2014 - OKC Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-09
  • S66 Uniform Combined State Law Examination
    2010-04-09
Other Names
  • Kevin Nichols

View on SEC IAPD

More in Oklahoma City, OK

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