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Nicholas Giambri

LPL Financial LLC
26 Years of Experience
Aventura, FL
2 DisclosuresBroker
View SEC Summary
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Nicholas Giambri is a registered investment advisor at LPL Financial LLC, based in Aventura, FL, with 26 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

20801 Biscayne Blvd, Suite 403 #452, Aventura, FL, 33180

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
January 2020
Final
Customer Dispute
January 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nicholas operates under the DBA Guardian Legacy Advisors for his LPL business. This activity is investment-related and takes up a full-time commitment.

Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
March 2019 - May 2025 · 6 yrs 2 mos
Raymond James Financial Services, INC.Broker
February 2019 - May 2025 · 6 yrs 3 mos
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April 2017 - February 2019 · 1 yr 10 mos
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April 2017 - February 2019 · 1 yr 10 mos
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May 2011 - April 2017 · 5 yrs 11 mos
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January 2009 - May 2011 · 2 yrs 4 mos
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State Registrations8 states
AZCAFLILKYNYOHWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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