Claude Damian Nesis

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
WA	RA	APPROVED	2020-10-16

WA RA
APPROVED

Since 2020-10-16

Branch Locations

Bellevue, WA • 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
Kms Financial Services, Inc	Seattle	WA	03/2004	10/2020
Lpl Financial Llc	Bellevue	WA	10/2020	Present

03/2004 → 10/2020

Kms Financial Services, Inc

Seattle, WA
10/2020 → Present

Lpl Financial Llc

Bellevue, WA

Previous Registrations

2004-03-30 → 2020-10-16

Kms Financial Services, Inc.

Bellevue, WA
1990-08-22 → 2004-03-31

Cincinnati Analysts, Inc.

Seattle, WA

Other Businesses

1)10/07/2020 - THE NESIS GROUP - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 2004 2)10/07/2020 - THE NESIS GROUP - non-variable insurance - inv rel - at reported business location(s) - start: 1987 - 15 hr/mth 3)10/07/2020 - Real Estate Rental - PROPERTY OWNER - inv rel - Kirkland, WA - start: 1988 - 1 hr/mth

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-06-01

S63 Uniform Securities Agent State Law Examination

1987-06-01

Designations

Certified Financial Planner

View on SEC IAPD