Nicola Pinto is a CFP-designated registered investment advisor at Charles Schwab & CO., INC., based in Morristown, NJ, with 20 years of industry experience. Nicola 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
Fee Estimator
Location
110 Morris Street, Suite 102, Morristown, NJ, 07960
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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 Activities
Nicola is a managing member of K&D of NJ, LLC, where she and her partner invented a pool product that they sell wholesale and on Amazon. This takes about 10-20% of Nicola's time and is not investment related.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Fidelity Personal and Workplace Advisors
Strategic Advisers LLC
Fidelity Brokerage Services LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations27 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.
Exams
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