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Nicholas B. Ryan

CRD#: 7350997
Some features on this profile are disabled
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Nicholas Blake Ryan

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas Blake Ryan was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2021. Nicholas had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2024 - May 8, 2026

OAK HARVEST INVESTMENT SERVICES

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

BD
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".
OH
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)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/6/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/27/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/6/2021
Securities Industry Essentials Examination

Current Firm

OH
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
39

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 Accounts2,633
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.

Company Information

OAK HARVEST INVESTMENT SERVICES

CRD#: 173293

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