Nicholas Adam Topp

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

Authority	Category	Status	Date
IA	RA	APPROVED	2023-05-22

IA RA
APPROVED

Since 2023-05-22

Branch Locations

1728 Central Ave Suite 15, Fort Dodge, IA 50501 • United States

414 S. 17Th Street #102, Ames, IA 50010 • 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

Organization	City	State	From	To
Lpl Financial Llc	Ames	IA	01/2022	Present
Cyhawk Hospitality	Altoona	IA	03/2016	01/2022

01/2022 → Present

Lpl Financial Llc

Ames, IA
03/2016 → 01/2022

Cyhawk Hospitality

Altoona, IA

Other Businesses

1-02/2022 / Public Notary / OTHER / INVESTMENT RELATED / AMES, IA 2- 11/2016 / Private Mortgage / OTHER-LOAN BORROWER / INVESTMENT RELATED / CAMBRIDGE, IA 3- 01/2022 / Wealth Management & Investment Services / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / AMES, IA 4- 06/05/2023 - Investment Services of Iowa, LC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 05/15/2023 - 40 Hours Per Month/ 10 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-05-19

S66 Uniform Combined State Law Examination

2023-05-19

View on SEC IAPD