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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Nichols is a financial advisor with LPL Financial LLC. Thomas has been a financial advisor since 2000. Thomas is licensed to provide advisory services in 53 states and the District of Columbia. Thomas specializes in providing financial planning, portfolio management for businesses and individuals, and pension consulting. Thomas has a strong track record of success in helping clients achieve their financial goals.
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.
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2
SC
03/11/2019 - Present
LPL Financial LLC (FORT MILL SC)
NC
08/22/2014 - 11/01/2018
PNC INVESTMENTS (CHARLOTTE NC)
NC
05/12/2011 - 08/18/2014
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
08/06/2009 - 11/15/2010
MML INVESTORS SERVICES, INC. (CHARLOTTE NC)
NC
04/03/2009 - 07/10/2009
AMERIPRISE FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NY
12/08/2000 - 12/31/2001
QUICK & REILLY, INC. (NEW YORK NY)
VA
02/15/2000 - 10/03/2000
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
VA
12/20/1999 - 02/03/2000
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
BOTH
Issued 04/10/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/05/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2009
Series 7 - General Securities Representative Examination
BC
Issued 12/18/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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