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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

NICHOLAS DAVID OLIVAS

Advisor at PROSPERA FINANCIAL SERVICES, INC.

Irvine, CA

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Search this name across graphsid dfx:ria:a215f84e-a598-1e4e-70ba-9ea43c15f836

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Nov 22, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERA FINANCIAL SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 20, 2017
First registration: Nov 22, 2017
Dual registered: yes, broker-dealer
Other names: Nicholas Olivas|Nick Olivas
IAPD individual key: 6803146

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Oct 30, 2025	n/a	yes	Irvine, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 18, 2024	Nov 14, 2025	no	IRVINE, CA\|SAN DIEGO, CA\|Newport Beach, CA	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Mar 14, 2022	Nov 19, 2024	no	NEWPORT BEACH, CA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Aug 7, 2020	Mar 18, 2022	no	NEWPORT BEACH, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 22, 2017	Aug 10, 2020	no	BREA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	PROSPERA FINANCIAL SERVICES, INC.	Nov 14, 2025	Oct 30, 2025	-15	Firm change	Ibd to ibd
RAYMOND JAMES & ASSOCIATES, INC.	LPL FINANCIAL LLC	Nov 19, 2024	Nov 18, 2024	-1	Firm change	Ibd to ibd
OPPENHEIMER & CO. INC.	RAYMOND JAMES & ASSOCIATES, INC.	Mar 18, 2022	Mar 14, 2022	-4	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OPPENHEIMER & CO. INC.	Aug 10, 2020	Aug 7, 2020	-3	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Oct 30, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 18, 2024 to Nov 14, 2025factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Mar 14, 2022 to Nov 19, 2024factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Aug 7, 2020 to Mar 18, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 22, 2017 to Aug 10, 2020factForm ADV

Dated events

Occurred
Nov 14, 2025
Advisor changed firm
Nicholas David Olivas left Lpl Financial Llc for Prospera Financial Services, Inc. (registered 2025-10-30)
Form ADVobserved 4 days ago
Occurred
Nov 19, 2024
Advisor changed firm
Nicholas David Olivas left Raymond James & Associates, Inc. for Lpl Financial Llc (registered 2024-11-18)
Form ADVobserved 4 days ago
Occurred
Mar 18, 2022
Advisor changed firm
Nicholas David Olivas left Oppenheimer & Co. Inc. for Raymond James & Associates, Inc. (registered 2022-03-14)
Form ADVobserved 4 days ago