Nicholas G. Prassas

PRASSAS CAPITAL

Draper, UT

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CRD#: 1852713

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 22, 2004 - Present

PRASSAS CAPITAL, LLC

RIA

CRD#: 129979

Draper, UT

Past

August 1, 2001 - January 20, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

DANVILLE, CA

Past

July 12, 2001 - January 20, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 20, 2000 - August 16, 2001

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 17, 1999 - September 1, 2000

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

May 2, 1997 - September 16, 1999

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 29, 1995 - September 14, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 31, 1988 - December 23, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

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

State Security Law Exam

IAR

Series 66

Date: 10/2/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/23/1991

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/29/1988

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/2000

General Securities Principal Examination

Current Firm

PRASSAS CAPITAL, LLC

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

CRD#: 129979 / SEC#:

Arizona

Registered Investment Advisory firm - (3/3/2026 Terminated)

California

Registered Investment Advisory firm - (5/13/2019 Terminated)

Utah

Registered Investment Advisory firm - (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).

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Contact information

Main Address

Oro Valley, AZ

Mailing Address

P.o. Box 293, Draper, UT 84020

Phone number

(520) 829-5266

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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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Nicholas G. Prassas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PRASSAS CAPITAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUNAMERICA SECURITIES, INC.

PIPER SANDLER & CO.

NUVEEN SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2000

Series 63

Date: 5/6/1991

Series 7

Date: 1/23/1991

Series 52

Date: 8/29/1988

Series 24

Date: 10/10/2000

Current Firm

PRASSAS CAPITAL, LLC

Contact information

Documents

Red Flags

Company Information

PRASSAS CAPITAL, LLC

TRUST BUT VERIFY

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