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CFP
NG
CFP

Nicholas George

LPL Financial LLC
20 Years of Experience
Stanley, NC
Broker
View SEC Summary
View SEC Summary

Nicholas George is a CFP-designated registered investment advisor at LPL Financial LLC, based in Stanley, NC, with 20 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

7781 S. Little Egypt Rd #109, Stanley, NC, 28164

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Nicholas operates St. George Wealth Management, LLC as a DBA for his LPL business. This investment-related activity takes up all of Nicholas's time.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2023 - Present · 2 yrs 11 mos
LPL Financial LLC
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Woodbury Financial Services, INC.Broker
January 2022 - November 2023 · 1 yr 10 mos
Woodbury Financial Services, INC.
January 2022 - November 2023 · 1 yr 10 mos
Raymond James Financial Services Advisors, INC
February 2018 - January 2022 · 3 yrs 11 mos
Raymond James Financial Services, INC.Broker
February 2018 - January 2022 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2012 - February 2018 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2012 - February 2018 · 5 yrs 7 mos
LPL Financial LLC
April 2011 - June 2012 · 1 yr 2 mos
LPL Financial LLCBroker
August 2010 - June 2012 · 1 yr 10 mos
Uvest Financial Services Group, INC.
July 2010 - April 2011 · 9 mos
Uvest Financial Services Group, INC.Broker
July 2010 - April 2011 · 9 mos
UBS Financial Services INC.
July 2009 - July 2010 · 1 yr
UBS Financial Services INC.Broker
May 2009 - July 2010 · 1 yr 2 mos
Banc of America Investment Services, INC.Broker
April 2009 - May 2009 · 1 mo
Banc of America Investment Services, INC.Broker
October 2005 - March 2009 · 3 yrs 5 mos
State Registrations11 states
ALCAFLILMANCRISCTNTXVA
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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