NB
Nicholas P. Boero
RUBICON ADVISORS
Redding, CA 96002
Some features on this profile are disabled
CRD#: 6923681
NB
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.
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) 08/11/2022 - Rubicon Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 09/01/2022 - 200 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Rubicon Advisors, an independent investment advisor firm. I started this business activity in 9/2022. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2) 08/12/2022- Nicholas Boero Financial- Investment Related- 1640 E Cypress Ave Suite A Redding CA 96002- Business Entity For Tax/Investment Purposes Only- Start Date- 09/01/2022- 5 Hours Per Month/ 2 Hours During Securities Trading 3) 08/12/2022- Rubicon Advisors- Investment Related- At Reported Business Location(s) -DBA for LPL Business (entity for LPL business)- Start Date- 09/01/2022- 25 Hours Per Month/ 20 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Paul Boero'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®
NoneExperience
Current
July 7, 2022 - Present
RUBICON ADVISORS
Office #1: 1640 East Cypress Suite A, Redding, CA 96002Office #2: 1420 Fairlane Road, Yreka, CA 96097RIA
CRD#: 174447
Redding, CA
Current
September 3, 2021 - Present
LPL FINANCIAL LLC
Office #1: 1420 Fairlane Rd, Yreka, CA 96097Office #2: 1640 E Cypress Avenue, Redding, CA 96002RIA
BD
CRD#: 6413
Yreka, CA
Past
June 2, 2022 - June 23, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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".
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(3/12/2025)
RR
Arizona(8/16/2022)
RR
Arkansas(8/12/2025)
RR
California(5/27/2022)
IAR
California(7/7/2022)
RR
Florida(8/16/2022)
RR
Idaho(8/16/2022)
RR
Iowa(2/6/2024)
RR
Montana(8/16/2022)
RR
Nevada(8/16/2022)
RR
New Mexico(8/16/2022)
RR
Ohio(8/17/2022)
RR
Oregon(8/16/2022)
RR
South Dakota(8/16/2022)
IAR
Texas(8/16/2022)
RR
Texas(12/5/2023)
RR
Utah(11/30/2023)
RR
Washington(8/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/3/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1640 East Cypress Suite A, Redding, CA 96002
Mailing Address
Phone number
(530) 223-5357
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 340,182,241 |
Red Flags
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