Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Olivas is a financial advisor with LPL Financial LLC in Newport Beach, CA. Nicholas has been in the financial services industry since August 2017. Nicholas is registered with the following securities regulators: FINRA, Series 66, Series 7, and the states of Arizona, California, Colorado, Connecticut, Florida, Georgia, Kentucky, Minnesota, Nevada, New Jersey, New York, Pennsylvania, Puerto Rico, South Carolina, Tennessee, Texas, and Washington. Nicholas previously worked at Oppenheimer & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
11/18/2024 - Present
LPL Financial LLC (NEWPORT BEACH CA)
CA
08/07/2020 - 03/18/2022
OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)
CA
08/18/2017 - 08/10/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
BOTH
Issued 11/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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