J.P. Morgan Securities
47yrs
Top advisor by experience at J.P. Morgan Securities
2yrs
Nicholas Broback
Financial advisor at UBS Financial Services
Nicholas Broback is a fiduciary financial advisor in San Francisco, California, with 2 years in the industry. Nicholas joined UBS Financial Services in 2025, a firm offering financial planning, investment management, and retirement plan consulting. The firm is paid through a percentage of assets, hourly fees, and flat fees.
One of 3220 advisors with offices in San Francisco, and one of 2949 fiduciaries.
At a glance
Experience2 years (since 2025)
How that compares ?2 years in the industry
Office555 California St 34th, 36th & 46th Floors, San Francisco, CA 94104
How the firm is paid ?Percent of assets, Hourly, Flat fee, Commissions, Other
Typical client at the firm ?$693,691
Advisors at the firm9,367
States licensed ?1 state
Services through UBS Financial Services
Financial planningInvestment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersNewsletters and publicationsSecurity ratings or pricingEducational seminars and workshops
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Series 66Uniform Combined State Law Examination
Career
- Jan 2025 – nowUBS Financial Services Inc.Current firm
Contact Nicholas
(201) 352-3000Firm headquarters in Weehawken, NJ. Ask for Nicholas. 555 California St 34th, 36th & 46th FloorsSan Francisco, CA 94104Office · Get directions LinkedIn pageUBS Financial Services
Is this you? Claim your free profile to add a direct line, email, photo, and specialties.
Questions to ask Nicholas
Tailored to Nicholas’s registration and firm.
- Who on your team supports you, and who reviews the recommendations you make?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
Sign in to keep private notes, score your first meeting, and track this advisor alongside others.
About Nicholas
How do I contact Nicholas?
Call UBS Financial Services at (201) 352-3000 and ask for Nicholas Broback. Nicholas works from the San Francisco, CA office.
How long has Nicholas been a financial advisor?
Nicholas has been in the industry since 2025, about 2 years. 2 years in the industry.
What licenses does Nicholas hold?
Series 66. Tap any license on this page to see what it allows.
Is Nicholas a fiduciary?
Nicholas is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is Nicholas paid?
UBS Financial Services reports being paid by a percentage of the assets they manage, hourly fees, flat or fixed fees, commissions on some products, other fees. Ask Nicholas for your total yearly cost in dollars.
Official record as of October 3, 2026.
This profile is for information only and is not financial advice or a recommendation.
Other advisors nearby
Delta Investment Management
47yrs
Top advisor by experience at Delta Investment Management
UBS Financial Services
47yrs
Top 1% by experience in San Francisco
UBS Financial Services
47yrs
Top 1% by experience in San Francisco
Raymond James & Associates
47yrs
Top 1% by experience in San Francisco
UBS Financial Services
47yrs
Top 1% by experience in San Francisco