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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

T. MATT NICHOLS

Advisor at LPL FINANCIAL LLC

FRESNO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2005 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: Aug 23, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 23, 1996
First registration: Aug 16, 2005
Dual registered: yes, broker-dealer
Other names: MATT NICHOLS|THOMAS M NICHOLS|THOMAS MATTHEW NICHOLS
IAPD individual key: 2754980

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 5, 2011	n/a	yes	FRESNO, CA	Current employment
MUTUAL SECURITIES, INC.	Former SEC adviser	Jan 7, 2010	Jan 12, 2010	no	WESTLAKE VILLAGE, CA\|FRESNO, CA	Previous registration
PRIVATE WEALTH ADVISORS	Independent wealth	Jan 11, 2007	Sep 28, 2011	no	FRESNO, CA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Aug 16, 2005	Mar 4, 2008	no	FRESNO, CA\|FRESNO, CA\|Fresno, CA	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
PRIVATE WEALTH ADVISORS	MUTUAL SECURITIES, INC.	Sep 28, 2011	Jan 7, 2010	-629	Firm change after gap	Other
MUTUAL SECURITIES, INC.	LPL FINANCIAL LLC	Jan 12, 2010	May 5, 2011	478	Firm change after gap	Other
PRINCIPAL SECURITIES, INC.	PRIVATE WEALTH ADVISORS	Mar 4, 2008	Jan 11, 2007	-418	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 5, 2011 to presentfactForm ADV
→ PRIVATE WEALTH ADVISORSRegistered adviserregistration: previous registration
Jan 11, 2007 to Sep 28, 2011factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserregistration: previous registration
Jan 7, 2010 to Jan 12, 2010factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 16, 2005 to Mar 4, 2008factForm ADV

Dated events

No dated event names this entity yet.