Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames K. Nicholas is a financial advisor with over 50 years of experience in the financial services industry. Nicholas currently works at Morgan Stanley and has been with the firm since June 2009. Prior to that, Nicholas worked at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Nicholas is registered in 45 states as a Broker-Dealer and 1 state as an Investment Advisor Representative. Nicholas holds a Series 00, Series 5, Series 63, Series 65, Series 7TO, and SIE license. Nicholas specializes in providing financial planning, asset allocation advice, pension consulting, and portfolio management services to individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (Dallas TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
04/11/2000 - 04/02/2007
MORGAN STANLEY DW INC. (DALLAS TX)
NY
09/26/1978 - 01/14/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/18/1972 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
03/03/1972 - 11/16/1972
DYNAVEST SECURITIES, INC.
IA
Issued 10/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/29/1972
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/02/1977
PC - AMEX Put and Call Exam
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Nicholas is the right advisor for you? Invested Better is here to help.
