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Nicholas N. Licouris
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
SANTA MONICA, CA 90405
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CRD#: 6305079
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Professional summary
Nicholas Nathan Licouris, CFP® is a registered financial advisor currently at GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT located in Santa Monica, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicholas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) 11/12/2014 - GERBER KAWASAKI INSURANCE SERVICES - NON-VARIABLE INSURANCE - TIME SPENT 10 HOURS PER MONTH - SANTA MONICA, CA. (2) GK Tax and Accounting, Santa Monica, CA; not investment related; provides and accounting services; Financial Advisor, refer clients to tax and accounting department and be the liaison between client and CPA. Start date: January 2021; I devote 5 hours per month to this business; 0 hours during securities trading hours. I refer clients to GK Tax and Accounting and I am a liaison between the client and CPA, financial planning advice.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Nathan Licouris'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®
Experience
Current
August 21, 2015 - Present
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
Office #1: 2437 Main Street, Santa Monica, CA 90405RIA
CRD#: 153649
SANTA MONICA, CA
Past
March 18, 2014 - July 20, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA MONICA, 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".
GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
CRD#: 153649 / SEC#: 801-79339
RIA
Registered Investment Advisory firm - (3/14/2014 Approved)California
Registered Investment Advisory firm - (4/17/2014 Terminated)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(8/21/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
CRD#: 153649 / SEC#: 801-79339
RIA
Registered Investment Advisory firm - (3/14/2014 Approved)California
Registered Investment Advisory firm - (4/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2437 Main Street, Santa Monica, CA 90405
Mailing Address
Phone number
(310) 399-6397
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,238 |
| AUM (Assets Under Management) | $ 3,191,645,341 |
Red Flags
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