Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nicholson is a registered investment advisor representative with Oppenheimer & Co. Inc. James has been in the securities industry since 1981. James has been registered with Oppenheimer & Co. Inc. since May 2009. James previously worked at CITIGROUP GLOBAL MARKETS INC. , LEHMAN BROTHERS INC. , and FOSTER & MARSHALL INC. James has a Series 3, Series 7, Series 63 and Series 65 license. James is also a FINRA Arbitrator.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
WA
05/22/2009 - Present
Oppenheimer & Co. Inc. (BELLEVUE WA)
WA
07/31/1993 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
08/26/1985 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/17/1981 - 09/06/1985
FOSTER & MARSHALL INC.
IA
Issued 07/11/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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