Articles Tagged with Nicholas Olivas

Broker Nicholas Olivas in Prospera Financial Services, INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olivas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on December 23, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an investment strategy which was unsuitable for the customer’s investment objectives between January and February 2025.

Broker Nicholas Olivas in LPL Financial LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $12,130.00 on August 05, 2025.

Customer alleges that advisor did not follow all trade instructions resulting in loss.