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NP
CFP
NP
CFP

Nicole Peterkin

Peterkin Financial, LLC
15 Years of Experience
Encinitas, CA
Sells Insurance
View SEC Summary
View SEC Summary

Nicole Peterkin is a CFP-designated registered investment advisor at Peterkin Financial, LLC, based in Encinitas, CA, with 15 years of industry experience. Nicole operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 57 clients with $25M in assets under management.

Peterkin Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
57 clients
Average Client Portfolio
$430K average
Assets Under Management
$24.5M

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees range up to 2.00% annually and are negotiable at the sole discretion of the Advisor. In certain instances, Peterkin Financial may provide services for a fixed annual fee not exceeding 2.00%. Clients also pay separate fees to independent managers ranging from 0.35% to 0.60% annually, with total fees not exceeding 3% per year.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Encinitas, CA

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Nicole owns rental real estate and serves as Trustee and Treasurer for Woodward School for Girls. She also works as an insurance agent, selling various insurance products, dedicating about a quarter of her time to this activity.

Employment History
Current Registrations
Peterkin Financial, LLC
August 2018 - Present · 8 yrs 3 mos
Previous Registrations
Securities America, INC.Broker
June 2018 - August 2018 · 2 mos
The Patriot Financial Group, LLC
December 2016 - August 2018 · 1 yr 8 mos
LPL Financial LLCBroker
November 2016 - July 2018 · 1 yr 8 mos
MML Investors Services, LLCBroker
February 2015 - December 2016 · 1 yr 10 mos
Eagle Strategies LLC
May 2014 - January 2015 · 8 mos
Nylife Securities LLCBroker
July 2011 - January 2015 · 3 yrs 6 mos
State Registrations2 states
CAMA
Advisor

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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