Nicholas John Novak

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-08-18

FL RA
APPROVED

Since 2026-08-18

Branch Locations

4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607 • 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
Oppenheimer	Tampa	FL	07/2023	08/2026
Oppenheimer	New York	NY	10/2022	07/2023
Atlantic Warrior Inc.	Wildwood	NJ	06/2021	10/2022
Alfes Restaurant	Wildwood	NJ	06/2015	08/2020
West Deptford High School	West Deptford	NJ	09/2013	06/2017
West Virginia University	Morgantown	WV	08/2017	05/2021
Lpl Enterprise Llc	Tampa	FL	08/2026	Present

07/2023 → 08/2026

Oppenheimer

Tampa, FL
10/2022 → 07/2023

Oppenheimer

New York, NY
06/2021 → 10/2022

Atlantic Warrior Inc.

Wildwood, NJ
06/2015 → 08/2020

Alfes Restaurant

Wildwood, NJ
09/2013 → 06/2017

West Deptford High School

West Deptford, NJ
08/2017 → 05/2021

West Virginia University

Morgantown, WV
08/2026 → Present

Lpl Enterprise Llc

Tampa, FL

Previous Registrations

2025-04-01 → 2026-08-21

Oppenheimer & Co. Inc.

Tampa, FL

Other Businesses

1. 8/12/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Tampa FL - OBA Start date: 06/26/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 2. 8/12/2026 - NICHOLAS NOVAK N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Tampa FL - OBA Start date: 06/26/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-03-28

S66 Uniform Combined State Law Examination

2025-03-28

View on SEC IAPD