What makes Nicotera Wealth Management unique?

  • Fee-Based Services - We are not paid to sell products, we are paid to manage wealth and control risk. We do not receive commissions for portfolio management. (Fee based portfolio management services are offered though LPL Financial.)
  • Experience - We have over 23 years experience managing wealth in all types of market environments.

How do you charge for your services?

  • An annual management fee (billed quarterly) for investment management services is charged. Actively managed accounts have no surrender charges and clients are free to leave at any time.  In our opinion, the only reason clients stay with us is because of their satisfaction with our services, which we strive to earn every day.

How often will I receive statements and updates?

  • Clients are updated monthly with hardcopy statements in addition to quarterly performance reporting. Additionally, all clients can request free online access to view their accounts.

What types of investments do you use?

  • Individual Equities (stocks), Mutual Funds, and ETF's / ETN's (Exchange Traded Funds / Notes) are employed as investment vehicles within our portfolios. Depending on the model's objective, a portfolio may hold one, two or a combination of all three of these vehicles.

Who is LPL Financial?

LPL Financial is one of the nation's leading diversified financial services companies and the largest independent broker/dealer supporting almost 16,000 financial advisors nationwide.* The firm is a member of both FINRA (Financial Industry Regulatory Authority) and SIPC (Securities Investor Protection Corporation).

LPL Financial helps financial professionals manage the complexities of running successful organizations by providing our customers with access to:

  • Leading-edge tools and technology
  • Independent investment research
  • Dedicated service and training
  • Open product architecture offering investment solutions

This mix of products and services allows their customers to focus on providing investment advice and to help their clients achieve important life and financial goals.

* As reported in Financial Planning magazine 1996-2009, based on total revenues.

What is SIPC coverage?

The LPL Financial SIPC Membership provides account protection up to a maximum of $500,000 per customer, of which $100,000 may be claims for cash. An explanatory brochure is available at www.sipc.org .

Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of customer accounts up to an overall firm limit of $575,000,000 subject to conditions and limitations.

The account protection applies when an SIPC member firm fails financially and is unable to meet obligations to security clients, but does not protect against losses from the rise and fall in the market value of investments.

The not-for-profit membership corporation was mandated by the Securities Investor Protection Act and has more than 6,000 members. Its board is appointed by the US president, the treasury secretary, and the Federal Reserve Board. Assessments from members and investments in government securities provide money for the SIPC Fund.

Why Nicotera Wealth?   Investment Philosophy   Portfolio Management Services  


Check the background of this firm on FINRA’s BrokerCheck

Nicotera Wealth Management

313 Ushers Road, Ballston Lake, NY 12019
Phone: (518) 877-6600 or (888) 536-9477
Fax: (518) 877-6733
Securities and advisory services offered through LPL Financial,
a Registered Investment Advisor, Member FINRA/SIPC
LPL Financial does not offer, supervise or endorse the other client services DBA may offer.

No information provided on this site is intended to constitute an offer to sell or a solicitation of an offer to buy shares of any security, nor shall any security be offered or sold to any person, in any jurisdiction in which such offer, solicitation, purchase, or sale would be unlawful under securities laws of such jurisdiction. Registered Representatives of LPL Financial whose identities and associations with Nicotera Wealth Management are disclosed on this site may only discuss securities or transact business with persons who are residents of the following states: CA, CT,  DC, FL, GA, IL, MA, MD, ME, NC, NJ, NY,  OH, SC

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