Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nickens is a registered representative with M. S. Howells & Co. based in Indianapolis, IN. James has been in the securities industry since 1994. James holds multiple securities licenses, including Series 6, 7, 24, 51, 63, and 65. James has previously been registered with several other firms including Navian Capital Securities LLC, Axio Financial LLC, The Leaders Group, Inc., ProEquities, Inc., Key Investment Services LLC, NatCity Investments, Inc., Fifth Third Securities, Inc., BANC One Securities Corporation, John Hancock Distributors, Inc., and John Hancock Mutual Life Insurance Company.
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.
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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2
IN
11/11/2021 - Present
M. S. Howells & Co. (INDIANAPOLIS IN)
IN
12/21/2017 - 11/11/2021
NAVIAN CAPITAL SECURITIES LLC (Indianapolis IN)
NY
05/12/2020 - 09/16/2021
AXIO FINANCIAL LLC (NEW YORK NY)
CO
07/01/2014 - 12/31/2017
THE LEADERS GROUP, INC. (LITTLETON CO)
IN
08/10/2012 - 07/30/2014
PROEQUITIES, INC. (INDIANAPOLIS IN)
NY
02/03/2006 - 09/28/2011
KEY INVESTMENT SERVICES LLC (ALBANY NY)
IN
11/20/2003 - 12/31/2005
NATCITY INVESTMENTS, INC. (INDIANAPOLIS IN)
OH
07/24/1998 - 09/17/2003
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
OH
07/03/1997 - 07/31/1998
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
IL
11/02/1993 - 05/28/1997
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MA
11/24/1992 - 02/25/1993
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
11/24/1992 - 02/25/1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 06/23/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/12/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/06/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/19/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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