Nicholas G. Brakovich

OAK TREE SECURITIES

Livermore, CA 94551-4949

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CRD#: 5276945

Professional summary

Nicholas Gregory Brakovich, who also goes by Nick Brakovich, is a registered financial professional currently at OAK TREE SECURITIES, INC. located in Livermore, California.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nick Brakovich

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) - BD

Click below to view Nicholas Gregory Brakovich's CRS (Customer Relationship Summary).

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

July 21, 2025 - Present

OAK TREE SECURITIES, INC.

Office #1: 4049 First Street Suite 129, Livermore, CA 94551-4949

RIA

CRD#: 18126

Livermore, CA

Past

March 9, 2023 - July 31, 2023

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

San Marcos, CA

Past

January 2, 2020 - February 15, 2023

PREP SECURITIES, LLC

CRD#: 188522

PARK CITY, UT

Past

May 1, 2018 - December 31, 2019

CR CAPITAL DISTRIBUTORS, LLC

CRD#: 171776

NEWPORT BEACH, CA

Past

February 18, 2011 - April 27, 2018

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

IRVINE, CA

Past

July 29, 2008 - November 2, 2009

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

NEWPORT BEACH, CA

Past

April 16, 2007 - July 31, 2008

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

NEWPORT BEACH, CA

Past

March 26, 2007 - April 18, 2007

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(7/21/2025)

Exams

State Security Law Exam

Series 63

Date: 5/18/2007

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: 3/23/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OAK TREE SECURITIES, INC.

CRD#: 18126 / SEC#: 801-39201, 8-36138

RIA

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (3/30/2004 Approved)

Hawaii

Registered Investment Advisory firm - SEC (1/21/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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

4049 First Street Suite 129, Livermore, CA 94551-4949

Mailing Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Phone number

(925) 245-0570

Established

California since 04/30/1986

Firm type

Corporation

Fiscal year end

April

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUESADA, DANIEL MARTINEZ	PRESIDENT, CFO,	817404
DAHL, ERIC DREW	PRINCIPAL	735877
LARSON, DENNIS ARTHUR	REGISTERED REP	302868
WILLIAMS, PATRICIA JEAN	PRINCIPAL	1006661
DURDEN, JOHN KENNETH JR	FINANCIAL PRINCIPAL	860423
GODINEZ, DAVID GREGORY	PRINCIPAL, CHIEF COMPLIANCE OFFICER	2086793

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 3,689,200

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas G. Brakovich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Gregory Brakovich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

PREP SECURITIES, LLC

CR CAPITAL DISTRIBUTORS, LLC

STIRA CAPITAL MARKETS GROUP, LLC

KBS CAPITAL MARKETS GROUP LLC

STIRA CAPITAL MARKETS GROUP, LLC

AFA FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2007

FINRA

Current Firm

OAK TREE SECURITIES, INC.

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OAK TREE SECURITIES, INC.

TRUST BUT VERIFY

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