Nicholas Joseph Thompson

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

• 06/2024 → 01/2026
  Alpha Cubed Investments, Llc
  Irvine, CA
• 05/2023 → 05/2024
  Gradguard
  Phoenix, AZ
• 08/2023 → 01/2024
  Arizona State University Office Of Planning & Budget
  Tempe, AZ
• 08/2020 → 05/2024
  Arizona State University
  Tempe, AZ
• 08/2016 → 05/2020
  Brophy College Preparatory School
  Phoenix, AZ
• 01/2023 → 06/2023
  Dynamic Wealth Advisors Dba Lifemanaged
  Phoenix, AZ
• 01/2026 → 05/2026
  Capfinancial Partners, Llc. (Captrust)
  Raleigh, NC
• 05/2026 → Present
  Lpl Financial Llc
  Phoenix, AZ

Previous Registrations

• 2026-02-17 → 2026-05-05
  Captrust
  Costa Mesa, CA
• 2024-06-25 → 2026-04-30
  Alpha Cubed Investments, Llc
  Costa Mesa, CA

Other Businesses

1. 05/2026 - The Summit Financial Strategies, Inc. - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/8/2026

Exams

• S63 Uniform Securities Agent State Law Examination
  2026-06-23
• S65 Uniform Investment Adviser Law Examination
  2024-06-21

Other Names

• Nick Thompson
• Nicholas Joseph Thompson
• Nicholas Thompson