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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

NICHOLAS ANTHONY HAWK

Advisor at LPL FINANCIAL LLC

SOUTHGATE, MI

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Search this name across graphsid dfx:ria:9bef02f5-6808-4a78-ba01-04b3522ca9fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2011 to Sep 14, 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: 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: Sep 7, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 7, 2000
First registration: Apr 18, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 3263646

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
LPL FINANCIAL LLC	Bd affiliated wealth	May 30, 2024	n/a	yes	SOUTHGATE, MI	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 30, 2017	Jun 3, 2024	no	BROWNSTOWN TOWNSHIP, MI	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Oct 28, 2015	Jul 6, 2017	no	SOUTHGATE, MI	Previous registration
L.M. KOHN & COMPANY	Former SEC adviser	Jul 26, 2012	Sep 8, 2015	no	TROY, MI\|CINCINNATI, OH	Previous registration
LEONARD AND COMPANY	Former SEC adviser	May 4, 2012	Jul 23, 2012	no	TROY, MI	Previous registration
HANTZ FINANCIAL SERVICES, INC.	Independent wealth	Apr 18, 2011	May 2, 2012	no	WOODHAVEN, MI\|TAYLOR, MI	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Jun 3, 2024	May 30, 2024	-4	Firm change	Ibd to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 6, 2017	Jun 30, 2017	-6	Firm change	Other
L.M. KOHN & COMPANY	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Sep 8, 2015	Oct 28, 2015	50	Firm change	Other
LEONARD AND COMPANY	L.M. KOHN & COMPANY	Jul 23, 2012	Jul 26, 2012	3	Firm change	Other
HANTZ FINANCIAL SERVICES, INC.	LEONARD AND COMPANY	May 2, 2012	May 4, 2012	2	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
6363:6413:MI:2024-06-03	Jun 3, 2024	May 30, 2024	BROWNSTOWN TOWNSHIP, MI	Firm change
29604:6363:MI:2017-07-06	Jul 6, 2017	Jun 30, 2017	SOUTHGATE, MI	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 30, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 30, 2017 to Jun 3, 2024factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Oct 28, 2015 to Jul 6, 2017factForm ADV
→ L.M. KOHN & COMPANYRegistered adviserregistration: previous registration
Jul 26, 2012 to Sep 8, 2015factForm ADV
→ LEONARD AND COMPANYRegistered adviserregistration: previous registration
May 4, 2012 to Jul 23, 2012factForm ADV
→ HANTZ FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 18, 2011 to May 2, 2012factForm ADV

Dated events

Occurred
Jun 3, 2024
Advisor changed firm
Nicholas Anthony Hawk left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2024-05-30)
Form ADVobserved 5 days ago