Nicholas B. Ryan

OAK HARVEST INVESTMENT SERVICES

Houston, TX 77024

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CRD#: 7350997

Professional summary

Nicholas Blake Ryan is a registered financial advisor currently at OAK HARVEST INVESTMENT SERVICES located in Houston, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO 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) 49 Financial - Investment Related - 1334 Brittmoore Road Suite 2610, Houston, TX 77043 - Financial Advice - Financial Professional - 03/2020 - 160 hours/160 trading hours a month - Provide Advice to Clients. 2) Financial Independence Group. Not Investment Related. 1334 Brittmoore Road Suite 2610, Houston, TX 77043. Insurance. Agent. Start 3/2020. 34 hours per month, 2 during trading. Solicit and sales of life insurance products and annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Blake Ryan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 27, 2024 - Present

OAK HARVEST INVESTMENT SERVICES

Office #1: 920 Memorial City Way Suite 150, Houston, TX 77024

RIA

CRD#: 173293

Houston, TX

Past

February 15, 2023 - June 13, 2024

49 FINANCIAL

RIA

CRD#: 319484

AUSTIN, TX

Past

March 29, 2021 - January 17, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Houston, TX

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".

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(6/27/2024)

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: 1/6/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/27/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/6/2021

Securities Industry Essentials Examination

Current Firm

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 Terminated)

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Contact information

Main Address

920 Memorial City Way Suite 150, Houston, TX 77024

Mailing Address

Phone number

(281) 822-1350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - OAK HARVEST INVESTMENT SERVICES (8/8/2025)

Regulatory assets under management

Total Number of Accounts	2,633
AUM (Assets Under Management)	$ 940,834,408

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas B. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Blake Ryan's CRS (Customer Relationship Summary).

Certified licenses

Experience

49 FINANCIAL

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

OAK HARVEST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2023

Series 63

Date: 8/14/2020

Series 6TO

Date: 3/27/2021

SIE

Date: 3/6/2021

Current Firm

OAK HARVEST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK HARVEST INVESTMENT SERVICES

TRUST BUT VERIFY

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