Shaun Nicholson
Shaun Nicholson is a registered investment advisor at UBS Financial Services INC., based in Miamisburg, OH, with 45 years of industry experience. Shaun 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. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
3601 Rigby Road, Suite 500, Miamisburg, OH, 45342
Get directionsHistory
Regulatory History (2)
Customer Dispute
June 1993Customer Dispute
September 1992Other Business Activities
Shaun teaches continuing education at the University of Dayton, dedicating minimal time. He also serves on the board of directors for Greene Co Community Foundation and WDPR Public Radio, advising on finance and investment committees.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
J.C. Bradford & CO.Broker
Shearson Lehman Hutton INC.Broker
Painewebber IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations31 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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