NICHOLAS HARVEY GUMS is an investment adviser representative (IAR) with state registration records since 2009, appearing at 10 firms. Currently registered with LPL FINANCIAL LLC.
| Firm | From | To | Current |
|---|---|---|---|
| LPL FINANCIAL LLC | 2023-05-03 | present | Yes |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | 2022-06-28 | 2023-03-21 | — |
| TD AMERITRADE, INC. | 2022-06-28 | 2022-10-14 | — |
| CHARLES SCHWAB & CO., INC. | 2022-02-01 | 2023-03-21 | — |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | 2017-10-12 | 2022-06-14 | — |
| TD AMERITRADE, INC. | 2017-10-12 | 2022-06-14 | — |
| U.S. BANCORP ADVISORS, LLC | 2017-02-16 | 2017-10-04 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2014-11-07 | 2017-02-01 | — |
| J.P. MORGAN SECURITIES LLC | 2012-10-01 | 2014-11-03 | — |
| CHASE INVESTMENT SERVICES CORP. | 2011-06-27 | 2012-10-01 | — |
| WELLS FARGO CLEARING SERVICES, LLC | 2011-01-03 | 2011-05-09 | — |
| WELLS FARGO INVESTMENTS, LLC | 2009-02-09 | 2011-01-03 | — |