Nicholas Finn
Nicholas Finn is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 33 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 Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
299 Park Ave, 26th Floor, New York, NY, 10171
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2004Other Business Activities
Nicholas is a board member for Part Of The Solution, a non-profit organization providing services such as a soup kitchen and pro bono legal services. He serves on the building and investment committees.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Credit Suisse Securities (USA) LLCBroker
Credit Suisse Securities (USA) LLC
Lehman Brothers INC.
Lehman Brothers INC.Broker
Fiduciary Financial Services CORP.Broker
Sanford C. Bernstein & CO., INC.Broker
State Registrations34 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.
Exams
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