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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Nicholas M Pagliai

Advisor at LINCOLN INVESTMENT

Crystal Lake, IL | JOLIET, IL

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Search this name across graphsid dfx:ria:2bfc4f7e-a3e6-261d-f056-77a012897ec1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 24, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LINCOLN INVESTMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Nov 19, 2016
First registration: Oct 24, 2017
Dual registered: yes, broker-dealer
Other names: NICHOLAS M PAGLIAI|Nicholas Pagliai|Nicholas Matthew Pagliai|Nicholas Pagliai|Nik Pagliai|Nicholas Pagliai|Nik Pagliai
IAPD individual key: 6714923

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LINCOLN INVESTMENT	Independent wealth	Sep 29, 2025	n/a	yes	Crystal Lake, IL\|JOLIET, IL	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Nov 9, 2020	Apr 7, 2025	no	SEATTLE, WA	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Feb 5, 2020	Oct 21, 2020	no	BELLEVUE, WA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 27, 2019	Nov 21, 2019	no	SEATTLE, WA	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 25, 2018	May 31, 2019	no	NAPERVILLE, IL\|NAPERVILLE, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 24, 2017	Apr 27, 2018	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	LINCOLN INVESTMENT	Apr 7, 2025	Sep 29, 2025	175	Firm change	Other
KMS FINANCIAL SERVICES, INC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 21, 2020	Nov 9, 2020	19	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	KMS FINANCIAL SERVICES, INC	Nov 21, 2019	Feb 5, 2020	76	Firm change	Other
FIFTH THIRD SECURITIES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	May 31, 2019	Jun 27, 2019	27	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIFTH THIRD SECURITIES, INC.	Apr 27, 2018	Jun 25, 2018	59	Firm change	Wirehouse to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:628:IL:2018-04-27	Apr 27, 2018	Jun 25, 2018	CHICAGO, IL	Firm change

Relationships

Registered with (5)

→ LINCOLN INVESTMENTRegistered adviserregistration: current employment
Sep 29, 2025 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Nov 9, 2020 to Apr 7, 2025factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Feb 5, 2020 to Oct 21, 2020factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 25, 2018 to May 31, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 24, 2017 to Apr 27, 2018factForm ADV

Dated events

Occurred
Apr 7, 2025
Advisor changed firm
Nicholas M Pagliai left Northwestern Mutual Investment Services,Llc for Lincoln Investment (registered 2025-09-29)
Form ADVobserved 6 days ago