DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicholas Harvey Gums

LPL Financial LLCBD affiliatedOakland, Cadual registrantIAPD 4954232

Feed of 09/14/2026

Also filed as Nick Gums

At current firm

3 y

since May 3, 2023

In the industry

17 y

since Feb 7, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since May 3, 2023 · Oakland, Ca
Td Ameritrade Investment Management, LLC former
Jun 28, 2022 to Mar 21, 2023 · San Francisco, Ca
Td Ameritrade, Inc. former
Jun 28, 2022 to Oct 14, 2022 · San Francisco, Ca
Charles Schwab & Co., Inc. national BD
Feb 1, 2022 to Mar 21, 2023 · San Francisco, Ca
Td Ameritrade, Inc. former
Oct 12, 2017 to Jun 14, 2022 · San Francisco, Ca
Td Ameritrade Investment Management, LLC former
Oct 12, 2017 to Jun 14, 2022 · San Francisco, Ca
U.S. Bancorp Advisors, LLC BD affiliated
Feb 16, 2017 to Oct 4, 2017 · San Ramon, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 7, 2014 to Feb 1, 2017 · Brentwood, Ca
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Nov 3, 2014 · Concord, Ca
Chase Investment Services Corp. former
Jun 27, 2011 to Oct 1, 2012 · Livermore, Ca
Wells Fargo Advisors wirehouse
Jan 3, 2011 to May 9, 2011 · Concord, Ca
Wells Fargo Investments, LLC unclassified
Feb 9, 2009 to Jan 3, 2011 · Concord, Ca

Moves

a registration end followed by a registration begin elsewhere

Td Ameritrade Investment Management, LLC to LPL Financial LLC
left Mar 21, 2023, registered May 3, 2023 (43 days) · RIA to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Td Ameritrade, Inc.
left Mar 21, 2023, registered Jun 28, 2022 (-266 days) · channel change inside one enterprise, not a move
Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLC
left Oct 14, 2022, registered Jun 28, 2022 (-108 days) · corporate re-registration, not a move
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Jun 14, 2022, registered Oct 12, 2017 (-1706 days) · channel change inside one enterprise, not a move
Td Ameritrade, Inc. to Charles Schwab & Co., Inc.
left Jun 14, 2022, registered Feb 1, 2022 (-133 days) · channel change inside one enterprise, not a move
U.S. Bancorp Advisors, LLC to Td Ameritrade, Inc.
left Oct 4, 2017, registered Oct 12, 2017 (8 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to U.S. Bancorp Advisors, LLC
left Feb 1, 2017, registered Feb 16, 2017 (15 days) · Other
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Nov 3, 2014, registered Nov 7, 2014 (4 days) · Wirehouse to wirehouse
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Chase Investment Services Corp.
left May 9, 2011, registered Jun 27, 2011 (49 days) · Other
Wells Fargo Investments, LLC to Wells Fargo Advisors
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

Nicholas Harvey Gums left Td Ameritrade Investment Management, Llc for Lpl Financial Llc (registered 2023-05-03)
Mar 21, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address