Adam Nieto is a registered investment advisor at LPL Financial LLC, based in Fremont, CA, with 31 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
39199 Paseo Padre Parkway, Ste A, Fremont, CA, 94538
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Regulatory History (1)
Customer Dispute
March 2024Other Business Activities
Adam operates DCN Wealth Management, LLC as a DBA for his LPL business since 2017. This activity takes more than full-time, with 130 hours spent during trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Fiserv Investor Services, INC.Broker
Wellington Securities, INC.Broker
First Investors CorporationBroker
State Registrations23 states
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.