Nicholas Rod Lupo

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

• 08/2017 → 09/2017
  The Ayco Company, L.P.
  Albany, NY
• 09/2017 → 06/2019
  The Ayco Company, L.P./Mercer Allied
  Irvine, CA
• 01/2017 → 07/2017
  Tightrope Interactive Inc.
  Cold Spring, NY
• 11/2011 → 12/2016
  Lupo Electric
  Fishkill, NY
• 07/2019 → Present
  Lpl Financial Llc
  Fountain Valley, CA

Previous Registrations

• 2019-01-25 → 2019-04-03
  Goldman Sachs Wealth Services, L.P.
  Irvine, CA
  Albany, NY

Other Businesses

1)07/2019 - DBA for LPL Business (entity for LPL business) - IWM PARTNERS - 100% - INVESTMENT RELATED - FOUNTAIN VALLEY, CA 92708

Exams

• S66 Uniform Combined State Law Examination
  2018-09-14