Nicholas Harvey Gums
Investment adviser representative at LPL Financial LLC
12 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
Are you Nicholas Harvey Gums? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
12 years in the industry.
- Fremont BankApr 2023 to now
- LPL Financial LLCApr 2023 to now
- Charles Schwab Bank, SsbJul 2022 to Mar 2023
- Charles Schwab & Co., Inc.Jan 2022 to Mar 2023
- TD Ameritrade Investment Management, LLCOct 2017 to Mar 2023
- TD AmeritradeSep 2017 to Mar 2023
- Unionbanc Investment ServicesFeb 2017 to Sep 2017
- Mufg Union BankJan 2017 to Sep 2017
- Bank of America, N.A.Oct 2014 to Jan 2017
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2014 to Jan 2017
Exams passed
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 1 state (CA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4954232
- Firm CRD
- 6413