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Cassandra Nichols

NEW York Life Investment Management LLC

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About Cassandra Nichols

Cassandra Nichols is a Registered Representative with New York Life Investment Management LLC, located in Glen Ellyn, IL. Cassandra has been in the financial services industry since 2007. Cassandra is licensed in 13 states. Cassandra has passed both the Series 63 and the Series 66 exams. Cassandra has previously worked for Calamos Financial Services LLC and Chase Investment Services Corp. Cassandra specializes in providing portfolio management for individuals, businesses, pooled investment vehicles, and investment companies.

Firm Information

Cassandra Nichols is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Cassandra Nichols’s Registration & Firm History

IL

03/09/2023 - Present

NEW York Life Investment Management LLC (Glen Ellyn IL)

IL

01/19/2010 - 03/02/2023

CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)

IL

12/05/2008 - 01/12/2010

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

TX

08/09/2007 - 11/05/2008

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 11/25/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/15/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Cassandra Nichols.
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