Nicholas Han
Nicholas Han is a registered investment advisor at Daehan Securities,inc, based in Santa Clarita, CA, with 28 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 35 clients with $4.7M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.50% |
| $250K - $500K | 2.00% |
| $500K - $1.0M | 1.50% |
| $1M+ | 1.00% |
Schedule is for Equity Portfolio. Balanced Portfolio fees are: 1.50% on the first $500,000, 1.00% on assets between $500,001 and $1,000,000, and 0.75% on assets over $1,000,000. Managed mutual fund portfolios are assessed an annual management fee of 0.20% on assets under management over $100,000. Fees may be negotiable.
Fee Estimator
Location
Santa Clarita, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas is the Vice-President of Unification Education council-OC.SD Chapter, a non-profit organization, dedicating minimal time. He is also the CEO/Investment Advisor for Daehan Securities Inc, spending full-time hours there, and an insurance agent for National Life Group.
Employment History
Current Registrations
Daehan Securities,inc
Previous Registrations
Kayan Securities, INC.Broker
Kayan Securities, INC.Broker
Sh Investment & SecuritiesBroker
Hanmi Asset Securities,inc.Broker
Shin Han Global SecuritiesBroker
First Allied Securities, INC.Broker
Daehan Securities, INC.Broker
State Registrations1 state
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.