Nicholas Klopsis

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

• 03/2013 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → 03/2025
  Osaic Wealth, Inc.
  Scottsdale, AZ
• 03/2025 → Present
  Lpl Financial Llc
  Smithtown, NY

Previous Registrations

• 2024-10-11 → 2025-03-28
  Osaic Wealth, Inc.
  Scottsdale, AZ
  Smithtown, NY
• 2013-10-02 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
• 2011-03-07 → 2012-10-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Smithtown, NY

Other Businesses

1 - 03/2025 - Synergy Wealth Strategies - DBA for LPL Business (entity for LPL business) - Inv Related - 100 Hours/Month - 6 Hours During Trading - At reported business location(s).

Exams

• S66 Uniform Combined State Law Examination
  2011-03-05
• S63 Uniform Securities Agent State Law Examination
  1993-06-28