Nicholas J. Bautista

CLEARVIEW WEALTH MANAGEMENT

Irvine, CA 92612

Some features on this profile are disabled

CRD#: 5560293

Professional summary

Nicholas Joseph Bautista, CFP® is a registered financial advisor currently at CLEARVIEW WEALTH MANAGEMENT located in Irvine, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Nicholas has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.

1. FIXED INSURANCE SALES UNDER NAME CLEARVIEW FINANCIAL PLANNING GROUP, AS INSURANCE AGENT, CONDUCTED AT BRANCH, INVESTMENT RELATED. 2. RENTING PROPERTY LOCATED IN HAMPTON, VA, AS OWNER, NOT CONDUCTED AT BRANCH, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph Bautista'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

March 6, 2018 - Present

CLEARVIEW WEALTH MANAGEMENT

Office #1: 19712 Macarthur Blvd Suite #225, Irvine, CA 92612

RIA

CRD#: 288978

Irvine, CA

Past

October 10, 2012 - May 17, 2019

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

IRVINE, CA

Past

June 29, 2012 - May 17, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

IRVINE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEARVIEW WEALTH MANAGEMENT

CLEARVIEW FINANCIAL PLANNING GROUP | PHILLIPS, MARK DAVID | MARK DAVID PHILLIPS | CLEARVIEW WEALTH MANAGEMENT, LLC | CLEARVIEW WEALTH MANAGEMENT

CRD#: 288978 / SEC#: 801-121594

RIA

Registered Investment Advisory firm - (6/24/2021 Approved)

California

Registered Investment Advisory firm - (7/25/2021 Terminated)

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).

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
(3/6/2018)

IAR

Florida
(10/19/2022)

IAR

Ohio
(6/14/2022)

IAR

Texas
(9/13/2021)

IAR

Washington
(9/13/2021)

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: 10/8/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2012

General Securities Representative Examination

Current Firm

CLEARVIEW WEALTH MANAGEMENT

CLEARVIEW FINANCIAL PLANNING GROUP | PHILLIPS, MARK DAVID | MARK DAVID PHILLIPS | CLEARVIEW WEALTH MANAGEMENT, LLC | CLEARVIEW WEALTH MANAGEMENT

CRD#: 288978 / SEC#: 801-121594

RIA

Registered Investment Advisory firm - (6/24/2021 Approved)

California

Registered Investment Advisory firm - (7/25/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4 Venture Suite 120, Irvine, CA 92618

Mailing Address

Phone number

(949) 333-6394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEARVIEW WEALTH - ADV PART 2A BROCHURE (2025) (10/31/2025)

Regulatory assets under management

Total Number of Accounts	608
AUM (Assets Under Management)	$ 159,068,553

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas J. Bautista

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph Bautista's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLEARVIEW WEALTH MANAGEMENT

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

CLEARVIEW WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/28/2012

Current Firm

CLEARVIEW WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLEARVIEW WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors