Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Nieto is a financial advisor with over 28 years of experience in the financial services industry. Adam is currently registered with Sorrento Pacific Financial, LLC and is licensed to provide financial advice in several states. Previously, Adam worked with LPL Financial LLC, Uvest Financial Services Group, Inc., Fiserv Investor Services, Inc., Wellington Securities, Inc., and First Investors Corporation. Adam specializes in helping individuals, families, businesses, and charitable organizations with their financial planning and investment needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
01/31/2017 - Present
Sorrento Pacific Financial, LLC (Fremont CA)
CA
11/16/2016 - 02/24/2017
LPL FINANCIAL LLC (PLEASANTON CA)
CA
05/18/2011 - 11/15/2016
SORRENTO PACIFIC FINANCIAL, LLC (FREMONT CA)
CA
10/05/2004 - 05/23/2011
UVEST FINANCIAL SERVICES GROUP, INC. (FREMONT CA)
TX
07/01/2002 - 10/05/2004
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
CA
03/06/1995 - 06/28/2002
WELLINGTON SECURITIES, INC. (SAN FRANCISCO CA)
NJ
11/25/1992 - 03/03/1993
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 06/29/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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