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

Nick Panos Stavropoulos

LPL Financial LLCBD affiliatedHoffman Estates, Ildual registrantIAPD 5347879

Feed of 09/14/2026

Also filed as Nick Panos Stavropoulos

At current firm

1 y

since Jan 23, 2025

In the industry

19 y

since Sep 11, 2007 (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 Jan 23, 2025 · Hoffman Estates, Il
Wintrust Investments former
Jun 20, 2019 to Jan 23, 2025 · Hoffman Estates, Il
U.S. Bancorp Investments, Inc. former
Jun 20, 2014 to Jun 28, 2019 · Bensenville, Il
Citizens Securities, Inc. BD affiliated
Jul 11, 2012 to Jun 23, 2014 · Palatine, Il
Pnc Wealth Management BD affiliated
Feb 14, 2012 to Jul 10, 2012 · Grayslake, Il
Chase Investment Services Corp. former
Apr 23, 2009 to Feb 7, 2012 · Schaumburg, Il
Wells Fargo Advisors wirehouse
Jan 1, 2008 to Apr 27, 2009 · Hanover Park, Il
A. G. Edwards & Sons, Inc. unclassified
Sep 12, 2007 to Jan 1, 2008 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

Wintrust Investments to LPL Financial LLC
left Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
U.S. Bancorp Investments, Inc. to Wintrust Investments
left Jun 28, 2019, registered Jun 20, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
Citizens Securities, Inc. to U.S. Bancorp Investments, Inc.
left Jun 23, 2014, registered Jun 20, 2014 (-3 days) · Other
Pnc Wealth Management to Citizens Securities, Inc.
left Jul 10, 2012, registered Jul 11, 2012 (1 days) · Other
Chase Investment Services Corp. to Pnc Wealth Management
left Feb 7, 2012, registered Feb 14, 2012 (7 days) · Other
Wells Fargo Advisors to Chase Investment Services Corp.
left Apr 27, 2009, registered Apr 23, 2009 (-4 days) · Other
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address