Nicholas Ricci is a registered investment advisor at LPL Financial LLC, based in Utica, NY, with 28 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
41 Notre Dame Ln, Utica, NY, 13502
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Regulatory History (1)
Customer Dispute
March 2010Other Business Activities
Nicholas is a CPA providing tax preparation and accounting services since 1990. This investment-related activity takes up approximately 60 hours per month.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Princor Financial Services CorporationBroker
State Registrations10 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.