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Nicholas George Prassas

PRASSAS CAPITAL
Draper, UT
·CRD# 1852713·38 years experience

Professional Summary

Nicholas George Prassas is a registered financial advisor currently at PRASSAS CAPITAL, LLC located in Draper, Utah. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Nicholas has worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 52 and Series 24 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

PRASSAS CAPITAL, LLC·CRD# 129979
RIA
Draper, UT
January 22, 2004 - Present
LPL FINANCIAL LLC·CRD# 6413
RIA
Danville, CA
August 1, 2001 - January 20, 2004
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
July 12, 2001 - January 20, 2004
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
September 20, 2000 - August 16, 2001
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
September 17, 1999 - September 1, 2000
NUVEEN SECURITIES, LLC·CRD# 469
BD
Chicago, IL
May 2, 1997 - September 16, 1999
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
August 29, 1995 - September 14, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
August 31, 1988 - December 23, 1993

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Current Firm

PC
PRASSAS CAPITAL, LLC

PRASSAS CAPITAL, INC. | WEALTH MANAGEMENT PARTNERS, LLC | PRASSAS CAPITAL, LLC

CRD#: 129979
Arizona
Registered Investment Advisory firm - Arizona (3/3/2026 Terminated)
California
Registered Investment Advisory firm - California (5/13/2019 Terminated)
Utah
Registered Investment Advisory firm - Utah (7/2/2025 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Oro Valley, AZ

Mailing Address

P.o. Box 293, Draper, UT 84020

Phone Number

(520) 829-5266

# of Employees

1

Documents

Latest Form ADV
0

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PRASSAS CAPITAL LLC 12263 N. Echo Valley Drive ORO VALLEY, AZ 86755 PRINCIPAL INVESTMENT ADVISOR REGISTERED INVESTMENT ADVISOR 30 HOURS PER WEEK Investment banking 10 hours/week

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
IAR
Utah
(7/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2000About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1991About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Aug 1988About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Oct 2000About the Series 24 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Nicholas George Prassas's CRS (Customer Relationship Summary).

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