# NICHOLAS HARVEY GUMS

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.

## Registration history (12)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2023-05-03 | present | Yes |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2022-06-28 | 2023-03-21 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2022-06-28 | 2022-10-14 | — |
| [CHARLES SCHWAB & CO., INC.](https://search.stillhousedata.com/firm/5393) | 2022-02-01 | 2023-03-21 | — |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2017-10-12 | 2022-06-14 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2017-10-12 | 2022-06-14 | — |
| [U.S. BANCORP ADVISORS, LLC](https://search.stillhousedata.com/firm/14455) | 2017-02-16 | 2017-10-04 | — |
| [MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED](https://search.stillhousedata.com/firm/7691) | 2014-11-07 | 2017-02-01 | — |
| [J.P. MORGAN SECURITIES LLC](https://search.stillhousedata.com/firm/79) | 2012-10-01 | 2014-11-03 | — |
| [CHASE INVESTMENT SERVICES CORP.](https://search.stillhousedata.com/firm/25574) | 2011-06-27 | 2012-10-01 | — |
| [WELLS FARGO CLEARING SERVICES, LLC](https://search.stillhousedata.com/firm/19616) | 2011-01-03 | 2011-05-09 | — |
| [WELLS FARGO INVESTMENTS, LLC](https://search.stillhousedata.com/firm/10582) | 2009-02-09 | 2011-01-03 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4954232)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4954232.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.