Nicholas James Yocca
Professional Summary
Nicholas James Yocca is a registered financial advisor currently at M STEVENS SECURITIES, LLC located in Las Vegas, Nevada. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
M STEVENS SECURITIES, LLC | OCEAN WALL SECURITIES
Contact Information
Main Address
3753 Howard Hughes Parkway Suite 200, Las Vegas, NV 89169Mailing Address
3753 Howard Hughes Parkway Suite 200, Las Vegas, NV 89169Phone Number
(702) 509-7000Established
California since 03/16/2018Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M STEVENS CORP. | HOLDING COMPANY | — |
| STEWART, MARK | CEO / CCO | 2074085 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/1/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Oct 2026About the Series 79TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Jun 2012About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Yocca's CRS (Customer Relationship Summary).
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