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CFP
NS
CFP

Nicholas Sterling

Oppenheimer & CO. INC.
9 Years of Experience
San Francisco, CA
Broker
View SEC Summary
View SEC Summary

Nicholas Sterling is a CFP-designated registered investment advisor at Oppenheimer & CO. INC., based in San Francisco, CA, with 9 years of industry experience. Nicholas 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, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1155 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

580 California Street, Suite 2300, San Francisco, CA, 94104

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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 Activities

Nicholas is a founding member of Texas Emerging Leaders, a leadership group. He also works as a fly fishing guide for Napa Valley Fly Guides, dedicating a few hours per week.

Employment History
Current Registrations
Oppenheimer & CO. INC.
October 2018 - Present · 8 yrs
Oppenheimer & CO. INC.
October 2018 - Present · 8 yrs
Oppenheimer & CO. INC.Broker
October 2018 - Present · 8 yrs
Previous Registrations
J.P. Morgan Securities LLC
April 2018 - October 2018 · 6 mos
J.P. Morgan Securities LLCBroker
April 2018 - October 2018 · 6 mos
Charles Schwab & CO., INC.
January 2017 - March 2018 · 1 yr 2 mos
Charles Schwab & CO., INC.Broker
December 2016 - March 2018 · 1 yr 3 mos
State Registrations17 states
AZCAGAMAMEMINCNJNVNYOHORPATXUTWAWV
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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