John Michael Nuzzi
Financial advisor at Lpl Financial LLC · Albany, NY
Last updated 2026-10-10
Claim your profileJohn Michael Nuzzi is a financial advisor at Lpl Financial LLC in Albany, NY, CRD 5421191. Licenses and exams on the registration: Series 66. IAPD registration began 2017-05-03.
Registration
- CRD number
- 5421191
- Registration status
- Active
- IAPD registration
- 2017-05-03
- Industry Experience
- 9 years
- Work Experience
- 10 years
- States registered
- NY, TX
Licenses and exams
- Series 66
Work history
- 2016-07 to 2017-01 · Heartland Payment Systems · East Greenbush, NY
- 2017-05 to 2019-02 · Morgan Stanley · Albany, NY
- 2017-06 to 2019-02 · Morgan Stanley Private Bank, National Association · New York, NY
- 2017-01 to 2017-05 · Unemployed · East Greenbush, NY
- 2019-02 to Present · Lpl Financial LLC · Albany, NY
- 2019-02 to Present · Broadview Federal Cu · Albany, NY
Current employment
- Lpl Financial LLC · Fort Mill, SC
Lpl Financial LLC
- Regulatory AUM
- $819,117,829,825
- Registered advisors
- 23,458
- Offices
- 23,296
- Clients per advisor
- 84.7 (Moderate)
- Average AUM per client
- $412.2K (Low)
- High-net-worth client ratio
- 33.8% (Moderate)
Lpl Financial LLC: advisors, services and reported ETF investments
About
John Michael Nuzzi is a financial advisor at Lpl Financial LLC in Albany, NY. Reported securities licenses include Series 66. The latest record indicates 9 years of industry experience and 10 years of reported work history. Reported roles include Broadview Federal Cu, Morgan Stanley Private Bank, National Association, Morgan Stanley, Unemployed, among others.
SEC disclosures list additional business and community activities: 1) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - Dba For Lpl Business (entity For Lpl Business) - Start Date - 03/31/2023.
Lpl Financial LLC's firm-level Form ADV reports 23,458 advisors across 23,296 offices; approximately 84.7 clients per advisor, average assets per client of $412,241, and regulatory AUM of $819.1B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Educational Seminars or Workshops, Other Advisory Service.
PortfolioFuture's firm-level 13F analysis covers $318.3B across 1,914 reported ETF positions for the 2026-06-30 reporting period. These are firm-level disclosures, not investments attributed to John Michael Nuzzi personally.
Reported ETF positions
LPL Financial reports 1,914 ETF positions worth $318.3B on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| IVV — iShares Core S&P 500 ETF | $11.1B |
| QQQ — Invesco QQQ Trust, Series 1 | $7.8B |
| SPY — SPDR S&P 500 ETF TRUST | $7.4B |
| SPYM — State Street SPDR Portfolio S&P 500 ETF | $5.6B |
| SPYG — State Street SPDR Portfolio S&P 500 Growth ETF | $4.8B |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
LPL Financial's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $4B | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $3.3B | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | CORO — iShares International Country Rotation Active ETF | $471.6M | Top 99.8% | Residual alpha +5.96% · Residual Sharpe 0.24 |
| Diversification Benefits | IALT — iShares Systematic Alternatives Active ETF | $609.6M | Top 99.4% | Replicability (R²) 33.8% · Residual Sharpe 1.52 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Lpl Financial LLC on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Educational Seminars or Workshops
- Other Advisory Service
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Other Financial Product Salesperson
- Engaged in Other Business
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Banking or Thrift Institution
- Insurance Company or Agency
Location
4 Winners Circle, Albany, NY 12205
22 advisors at this office.
Contact
The firm's filed contact details.
Official record
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