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Nickolas Rene Prieto

Ubs Financial Services Inc.

Walnut Creek, CA

Walnut Creek, CA

Palo Alto, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-03-02
CA RA APPROVED 2019-11-18
  • TX RA
    APPROVED
    Since 2020-03-02
  • CA RA
    APPROVED
    Since 2019-11-18

Branch Locations

Walnut Creek, CA • United States

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States

305 Lytton Avenue, Palo Alto, CA 94301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Brouwer & Janachowski, Llc Tiburon CA 07/2016 10/2017
Osborne Partners Capital Management, Llc San Francisco CA 11/2017 11/2019
Ubs Financial Services, Inc. Weehawken NJ 11/2019 Present
  • 07/2016 → 10/2017
    Brouwer & Janachowski, Llc
    Tiburon, CA
  • 11/2017 → 11/2019
    Osborne Partners Capital Management, Llc
    San Francisco, CA
  • 11/2019 → Present
    Ubs Financial Services, Inc.
    Weehawken, NJ
Previous Registrations
  • 2017-11-08 → 2019-11-01
    Osborne Partners
    San Francisco, CA
  • 2016-08-13 → 2017-11-10
    Brouwer & Janachowski, Llc
    Mill Valley, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-12-28
S65 Uniform Investment Adviser Law Examination 2016-08-13
  • S63 Uniform Securities Agent State Law Examination
    2019-12-28
  • S65 Uniform Investment Adviser Law Examination
    2016-08-13
Other Names
  • Prieto Nickolas
  • Nick Prieto

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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