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Nicholas David Olivas

Prospera Financial Services, Inc.

Irvine, CA

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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-30
TX RA APPROVED_RES 2025-10-30
  • CA RA
    APPROVED
    Since 2025-10-30
  • TX RA
    APPROVED_RES
    Since 2025-10-30

Branch Locations

Irvine, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brea CA 05/2017 08/2020
Ucla Los Angeles CA 06/2013 05/2017
Dr. Nicholas D. Olivas Consulting Norwalk CA 05/2013 05/2017
Bank Of America, N.A. Brea CA 01/2018 02/2020
Oppenheimer & Co. Inc. Newport Beach CA 08/2020 03/2022
Raymond James & Associates, Inc. Newport Beach CA 03/2022 11/2024
Lpl Financial Newport Beach CA 11/2024 10/2025
Prospera Financial Services Inc Dallas TX 10/2025 Present
Previous Registrations
Other Businesses

Bregma Private Wealth; Investment related - Yes; 120 Linda Vista Irvine CA 92618; DBA offering wealth management services; Advisor; Owner; 10/2025; 200 hours per month; 7 hours during trading hours; providing wealth management business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-20
  • S66 Uniform Combined State Law Examination
    2017-11-20
Other Names
  • Nicholas Olivas
  • Nick Olivas

View on SEC IAPD

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