Nicholas Caccia

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
RI	RA	APPROVED	2024-11-04

RI RA
APPROVED

Since 2024-11-04

Branch Locations

1300 Division Rd Ste 201 Ste 201, West Warwick, RI 02893 • 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
Caliber Home Loans	East Greenwich	RI	04/2018	06/2019
First Home Mortgage	Providence	RI	05/2013	03/2018
Crosscountry Mortgage, Llc	Smithfield	RI	06/2019	Present
Lpl Financial, Llc	West Warwick	RI	07/2024	Present

04/2018 → 06/2019

Caliber Home Loans

East Greenwich, RI
05/2013 → 03/2018

First Home Mortgage

Providence, RI
06/2019 → Present

Crosscountry Mortgage, Llc

Smithfield, RI
07/2024 → Present

Lpl Financial, Llc

West Warwick, RI

Other Businesses

1. 07/11/2024 -SARDELLI & HUTCHINSON WEALTH MANAGEMENT- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) 2. 07/11/2024- CrossCountry Mortgage, LLC- Mortgage/Real Estate Services- Inv Rel- RI 02828- 40 hrs per mnth- Start Date 05/01/2019

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-11-02

S66 Uniform Combined State Law Examination

2024-11-02

View on SEC IAPD