Nicolas Dumas
Nicolas Dumas is a CFP-designated registered investment advisor at Silver Oak Securities, INC., based in Clifton Park, NY, with 8 years of industry experience. Nicolas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 8,746 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The maximum advisor fee is 2.0% of assets. Fees are negotiable between you and your financial professional. Accounts also incur a platform fee consisting of $45 annually plus an asset-based fee between 0.05% and 0.25%.
Fee Estimator
Location
800 Route 146, Building 400 Suite 494, Clifton Park, NY, 12065
Get directionsHistory
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 ActivitiesSells Insurance
Nicolas is dually-registered as an Investment Advisor Representative and a Registered Representative, spending most of his time as an investment advisor. He also engages in insurance sales, dedicating about 10% of his time to this activity.
Employment History
Current Registrations
Silver Oak Securities, INC.
Silver Oak Securities, IncorporatedBroker
Previous Registrations
Retirement Planning Group, LLC
Purshe Kaplan Sterling InvestmentsBroker
Arbor Point Advisors
Securities America, INC.Broker
Securities Service Network, LLCBroker
Ameritas Investment CORP.Broker
State Registrations1 state
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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