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.

Current firm

LPL FINANCIAL LLC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

4

Exams

S65|S63

First exam

Jun 21, 2024

First registration

Jun 25, 2024

Dual registered

yes, broker-dealer

Other names

Nick Thompson|Nicholas Joseph Thompson|Nicholas Thompson

IAPD individual key

7947358

• Occurred

  May 5, 2026
  Advisor changed firm

  Nicholas Joseph Thompson left Captrust for Lpl Financial Llc (registered 2026-05-08)

  Form ADVobserved 6 days ago
• Occurred

  Apr 30, 2026
  Advisor changed firm

  Nicholas Joseph Thompson left Alpha Cubed Investments, Llc for Captrust (registered 2026-02-17)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:83cb43c4-6f68-be3e-27b9-70d68af448d0

First observed

Jun 25, 2024

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.