Nicholas Paul Boero
Professional Summary
Nicholas Paul Boero is a registered financial advisor currently at RUBICON ADVISORS located in Redding, California and LPL FINANCIAL LLC located in Yreka, California. Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
Contact Information
Main Address
1640 East Cypress Suite A, Redding, CA 96002Phone Number
(530) 223-5357# of Employees
20SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,219AUM (Assets Under Management)
$420,724,128Similar Advisors
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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.
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Primary Firm SEC Registration
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
State Registrations and Notice Filings
(3/12/2025)
(8/16/2022)
(8/12/2025)
(5/27/2022)
(7/7/2022)
(8/16/2022)
(7/27/2026)
(8/16/2022)
(2/6/2024)
(8/16/2022)
(8/16/2022)
(8/16/2022)
(8/17/2022)
(8/16/2022)
(8/25/2026)
(8/16/2022)
(8/16/2022)
(12/5/2023)
(11/30/2023)
(8/16/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Paul Boero's CRS (Customer Relationship Summary).
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