Nicholas A. Covyeau

SWELL FINANCIAL

Costa Mesa, CA

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CRD#: 6395797

Professional summary

Nicholas Anthony Covyeau, CFP®, who also goes by Nick A Covyeau, is a registered financial advisor currently at SWELL FINANCIAL located in Costa Mesa, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicholas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

I live in Eastside Costa Mesa, CA with my wife, Kristin. 

Outside of the office, I enjoy spending time outdoors surfing, hiking, sailing, and going on weekend getaways. When my wife and I are not at the beach, you can find us testing out a new recipe in the kitchen or exploring a local restaurant we found on Yelp.

Question & Answer

What are your service offerings?

Retirement Income Management

Retirement Planning

Small Business Planning

Investment Planning

Comprehensive Financial Planni...

Insurance Planning

Tax Planning

Social Security Planning

Inheritance

Do you have an area of expertise or specialization?

Baby Boomers

Charitable Giving

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

Tax Planning

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

Nick A Covyeau

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.

Nick A. Covyeau is a co-host for the Real Personal Finance podcast, where he provides general educational and informational content. This outside business activity does not occupy more than 10% of Mr. Covyeau's time or income, nor does it impair his ability to provide services to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Covyeau'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^®

CRD#: 519

San Dimas, CA

Past

February 19, 2016 - November 2, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

Phoenix, AZ

Past

December 17, 2015 - November 2, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

October 13, 2014 - November 24, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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
(11/22/2021)

IAR

Texas
(3/23/2022)

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

IAR

Series 65

Date: 1/29/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/2014

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: 10/13/2014

General Securities Representative Examination

Current Firm

SWELL FINANCIAL

COVYEAU, NICHOLAS ANTHONY | SWELL FINANCIAL, INC. | SWELL FINANCIAL | COVYEAU, NICK A. DBA SWELL FINANCIAL

CRD#: 317029 / SEC#:

California

Registered Investment Advisory firm - (11/22/2021 Approved)

Texas

Registered Investment Advisory firm - (3/23/2022 Conditional Restricted)

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Contact information

Main Address

Costa Mesa, CA

Mailing Address

427 East 17th Street Suite F - #732, Costa Mesa, CA 92627

Phone number

(949) 375-3294

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 23,337,283

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.

Contact information

(xxx) xxx-xxxx

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Nicholas A. Covyeau

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Covyeau's CRS (Customer Relationship Summary).

Certified licenses

Experience

K2 FINANCIAL INC.

LEGEND ADVISORY, LLC

LINCOLN INVESTMENT

LINCOLN INVESTMENT

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2016

Series 63

Date: 10/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2014

Current Firm

SWELL FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWELL FINANCIAL

TRUST BUT VERIFY

Contact information

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