Nicholas J. Arellano

YLP FINANCIAL

Hermosa Beach, CA

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CRD#: 4357885

Professional summary

Nicholas John Arellano, CFP®, CIMA®, who also goes by Nick Arellano, is a registered financial advisor currently at YLP FINANCIAL, LLC located in Hermosa Beach, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Nicholas has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79TO, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Arellano

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 John Arellano'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®

CFP^®

Certified Financial Planner

Start date: 2008

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 24, 2022 - Present

YLP FINANCIAL, LLC

RIA

CRD#: 322357

Hermosa Beach, CA

Past

February 3, 2021 - December 9, 2024

SKYVIEW INVESTMENT BANKING

CRD#: 135073

MANHATTAN BEACH, CA

Past

April 15, 2015 - October 9, 2015

ALLEN C. EWING & CO.

CRD#: 26102

JACKSONVILLE, FL

Past

June 1, 2009 - April 23, 2015

MORGAN STANLEY

RIA

CRD#: 149777

BLOOMINGTON, MN

Past

June 1, 2009 - April 23, 2015

MORGAN STANLEY

CRD#: 149777

BLOOMINGTON, MN

Past

April 23, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BLOOMINGTON, MN

Past

April 12, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BLOOMINGTON, MN

Past

December 19, 2005 - October 3, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BLAINE, MN

Past

August 16, 2005 - October 3, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BLAINE, MN

Past

November 30, 2004 - April 20, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

September 28, 2004 - December 7, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 28, 2004 - December 7, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 20, 2001 - August 30, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

California
(8/24/2022)

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

Series 63

Date: 9/18/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/8/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/15/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/3/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79TO

Date: 8/25/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 31

Date: 9/5/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/4/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/15/2020

General Securities Principal Examination

Current Firm

YLP FINANCIAL, LLC

CRD#: 322357 / SEC#:

California

Registered Investment Advisory firm - (8/24/2022 Approved)

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Contact information

Main Address

Hermosa Beach, CA

Mailing Address

565 Pier Ave #695, Hermosa Beach, CA 90254

Phone number

(866) 850-8440

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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Advisor Monitoring

Firm Stability Insights

Nicholas J. Arellano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Arellano's CRS (Customer Relationship Summary).

Certified licenses

Experience

YLP FINANCIAL, LLC

SKYVIEW INVESTMENT BANKING

ALLEN C. EWING & CO.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2020

Series 66

Date: 12/8/2005

Series 7TO

Date: 4/15/2021

SIE

Date: 2/3/2021

Series 79TO

Date: 8/25/2020

Series 31

Date: 9/5/2008

Series 7

Date: 11/4/2004

Series 6

Date: 4/18/2001

Series 24

Date: 7/15/2020

Current Firm

YLP FINANCIAL, LLC

Contact information

Documents

Red Flags

Company Information

YLP FINANCIAL, LLC

TRUST BUT VERIFY

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