Nicholas Gums is a registered investment advisor at LPL Financial LLC, based in Oakland, CA, with 16 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
6300 College Avenue Suite 160, Oakland, CA, 94618
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Nicholas works as a Wealth Management Private Banker at Fremont Bank, dedicating about half of his time. He also operates under FB Investment Services as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
TD Ameritrade, INC.Broker
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
TD Ameritrade, INC.
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.Broker
Unionbanc Investment Services, LLC
Unionbanc Investment Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations1 state
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