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Nichole Adams

20 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 20 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

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.

One-Time Plan:$500 - $50,000
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Location

1200 Prospect Street, Suite 100, La Jolla, CA, 92037

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History

Regulatory History (1)
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Customer Dispute
May 2023
Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2015 - Present · 10 yrs 8 mos
UBS Financial Services INC.
September 2015 - Present · 10 yrs 8 mos
UBS Financial Services INC.Broker
September 2015 - Present · 10 yrs 8 mos
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 Registrations5 states
CAGANYTNWA
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.