Nicholas N. Yrizarry

ALIGN WEALTH ADVISORS

Laguna Hills, CA 92653

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CRD#: 2075325

Professional summary

Nicholas N/a Yrizarry, who also goes by Nicholas Nmn Yrizarry, Nicholas Yrizarry, Nick Yrizarry, Nicky Yrizarry, is a registered financial advisor currently at ALIGN WEALTH ADVISORS located in Laguna Hills, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Laguna Hills, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Nicholas has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Nmn Yrizarry | Nicholas Yrizarry | Nick Yrizarry | Nicky Yrizarry

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.

1) NICHOLAS YRIZARRY, LAGUNA HILLS CA 92653, 01/2024, GUITAR PLAYER, PERFORMING ARTS, NIR, 3 HR/MO 0 HR/MO TRADING 2) NICHOLAS YRIZARRY, 11 Imperatrice, Dana Point CA 92629, United States, 11/04/2024, Owner, Performing Arts, NIR, 5/MO - 0/Trading 3) NY&A LLC DBA ALIGN WEALTH ADVISORS, 24031 El Toro Road, Suite 210, Laguna Hills CA 92653, United States, 07/22/2011, Owner, RIA Affiliation, INV REL, 50 HR/MO 40 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas N/a Yrizarry'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

August 9, 2011 - Present

ALIGN WEALTH ADVISORS

Office #1: 24031 El Toro Road Suite 210, Laguna Hills, CA 92653

RIA

CRD#: 158631

Laguna Hills, CA

Current

December 15, 2023 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 24031 El Toro Rd. Ste. 210, Laguna Hills, CA 92653

CRD#: 39543

Laguna Hills, CA

Past

December 15, 2023 - May 12, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Laguna Hills, CA

Past

September 18, 2020 - December 15, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

Laguna Hills, CA

Past

August 8, 2011 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Laguna Hills, CA

Past

April 30, 2010 - August 24, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEWPORT BEACH, CA

Past

April 30, 2010 - August 24, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEWPORT BEACH, CA

Past

March 7, 2000 - June 23, 2010

NICHOLAS YRIZARRY & ASSOCIATES, LLC

RIA

CRD#: 115662

HERNDON, VA

Past

July 11, 1999 - April 30, 2010

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

RESTON, VA

Past

May 28, 1998 - July 1, 1999

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

April 28, 1994 - April 21, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 17, 1991 - April 19, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 6, 1991 - October 1, 1991

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

SUFFOLK, VA

Past

August 23, 1990 - May 14, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 23, 1990 - May 14, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(8/9/2011)

California
(12/15/2023)

Colorado
(12/15/2023)

District of Columbia
(12/15/2023)

IAR

Florida
(5/15/2013)

Florida
(12/15/2023)

Georgia
(12/18/2023)

Hawaii
(12/19/2023)

Illinois
(12/15/2023)

Maryland
(12/18/2023)

Massachusetts
(12/19/2023)

Minnesota
(12/26/2023)

Nevada
(12/15/2023)

New Hampshire
(12/15/2023)

New Jersey
(12/15/2023)

New York
(11/20/2024)

IAR

North Carolina
(1/17/2012)

North Carolina
(12/18/2023)

Ohio
(12/15/2023)

Oklahoma
(12/18/2023)

Pennsylvania
(12/15/2023)

South Carolina
(12/20/2023)

IAR

Texas
(4/1/2016)

Texas
(12/15/2023)

Vermont
(12/15/2023)

IAR

Virginia
(3/23/2012)

Virginia
(12/15/2023)

West Virginia
(12/15/2023)

Wyoming
(12/15/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/14/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1990

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALIGN WEALTH ADVISORS

ALIGN WEALTH ADVISORS | NY&A, LLC | NICHOLAS YRIZARRY WEALTH MANAGEMENT GROUP

CRD#: 158631 / SEC#: 801-72630

RIA

Registered Investment Advisory firm - (2/24/2012 Terminated)

California

Registered Investment Advisory firm - (2/23/2012 Approved)

Florida

Registered Investment Advisory firm - (5/15/2013 Approved)

Maryland

Registered Investment Advisory firm - (2/28/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (1/17/2012 Approved)

Texas

Registered Investment Advisory firm - (3/22/2016 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (3/23/2012 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

24031 El Toro Road Suite 210, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 715-8585

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	530
AUM (Assets Under Management)	$ 89,651,268

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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Advisor Monitoring

Firm Stability Insights

Nicholas N. Yrizarry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas N/a Yrizarry's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

NICHOLAS YRIZARRY & ASSOCIATES, LLC

SECURITIES SERVICE NETWORK, LLC

IFG NETWORK SECURITIES, INC.

OSAIC WEALTH, INC.

PRUDENTIAL EQUITY GROUP, LLC

INVESTORS SECURITY COMPANY, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1990

Series 63

Date: 8/27/1990

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1990

FINRA

Current Firm

ALIGN WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALIGN WEALTH ADVISORS

TRUST BUT VERIFY

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