Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Harvey Gums is an investment advisor representative with LPL Financial LLC. Nicholas has been in the industry since 2009 and holds the Series 7, Series 9, and Series 66 securities licenses. Nicholas has experience working with clients of all types, including individuals, families, businesses, trusts, and estates. Nicholas provides a wide range of financial services, including financial planning, investment management, retirement planning, and insurance planning. Nicholas is committed to providing personalized financial advice and guidance to help clients achieve their financial goals. Prior to joining LPL Financial LLC, Nicholas worked for TD Ameritrade, Inc., Charles Schwab & Co., Inc., and UnionBanc Investment Services, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/03/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
06/28/2022 - 03/21/2023
TD AMERITRADE, INC. (San Francisco CA)
CA
01/31/2022 - 03/21/2023
CHARLES SCHWAB & CO., INC. (San Francisco CA)
CA
10/11/2017 - 06/14/2022
TD AMERITRADE, INC. (SAN FRANCISCO CA)
CA
02/15/2017 - 10/04/2017
UNIONBANC INVESTMENT SERVICES, LLC (SAN RAMON CA)
CA
11/07/2014 - 02/01/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BRENTWOOD CA)
CA
10/01/2012 - 11/03/2014
J.P. MORGAN SECURITIES LLC (WALNUT CREEK CA)
CA
06/27/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CONCORD CA)
CA
01/03/2011 - 05/09/2011
WELLS FARGO ADVISORS, LLC (CONCORD CA)
CA
01/23/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CONCORD CA)
BOTH
Issued 02/07/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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