Nicholas James Shaw
Investment adviser representative at LPL Financial LLC
14 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
Are you Nicholas James Shaw? 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
14 years in the industry.
- Lake Michigan Credit UnionNov 2022 to now
- LPL Financial LLCNov 2022 to now
- United Shore Professional Baseball LeagueJun 2022 to Sep 2022
- UnemployedJan 2022 to Jun 2022
- Aluminum Fabrication CorporationJul 2021 to Jan 2022
- UnemployedAug 2020 to Jul 2021
- Ranir LLCMay 2020 to Aug 2020
- UnemployedJan 2020 to May 2020
- Nike IncMay 2019 to Jan 2020
- UnemployedAug 2018 to May 2019
- Sekisui Voltec LLCMay 2018 to Aug 2018
- UnemployedAug 2017 to May 2018
- Wojan Window & Door CorporationMay 2017 to Aug 2017
- UnemployedAug 2012 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 1 state (MI).
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
- 7214437
- Firm CRD
- 6413