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Nicholas Taylor

Esi Financial Advisors
39 Years of Experience
Glens Falls, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Nicholas Taylor is a registered investment advisor at Esi Financial Advisors, based in Glens Falls, NY, with 39 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

553 Glen Street, Glens Falls, NY, 12801

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History

Regulatory History (1)
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Customer Dispute
December 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicholas is an insurance agent/broker for several insurance companies, selling property, casualty, and securities products under the DBA Taylor and Leonard, dedicating about a quarter of his time. He also rents real estate and serves on the board of directors for a high school booster club.

Employment History
Current Registrations
Esi Financial Advisors
June 2021 - Present · 5 yrs 4 mos
Equity Services, INC.Broker
March 1987 - Present · 39 yrs 7 mos
Previous Registrations
Metropolitan Life Insurance CompanyBroker
June 1985 - October 1985 · 4 mos
State Registrations19 states
CACOFLGAIDMDNCNHNMNYORRISCTXUTVAVTWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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