Nicholas Finn
Nicholas Finn is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.
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.