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Nichole Adams
21 Years of Experience
La Jolla, CA
1 DisclosureBroker
Nichole Adams is a registered investment advisor at UBS Financial Services INC., based in La Jolla, CA, with 21 years of industry experience. Nichole 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- 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.
One-Time Plan:$500 - $50,000
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Location
1200 Prospect Street, Suite 100, La Jolla, CA, 92037
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2023Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.Broker
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
World Equity Group, INC.Broker
June 2010 - August 2015 · 5 yrs 2 mos
Citigroup Global Markets INC.
May 2009 - June 2010 · 1 yr 1 mo
Citigroup Global Markets INC.Broker
May 2007 - June 2010 · 3 yrs 1 mo
Citicorp Investment ServicesBroker
May 2005 - May 2007 · 2 yrs
State Registrations6 states
CAGANYTNVAWA
AdvisorBrokerBoth
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
No exam information available for this advisor.
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