Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nichols is a financial advisor with over 30 years of experience in the industry. James is registered with LPL Financial LLC and has a Series 7, 24, 63, and 65 license. James is a Chartered Financial Consultant and provides a range of financial services including financial planning, portfolio management, and investment advisory services. In the past, James has worked with firms including ING Financial Partners, Inc., Royal Alliance Associates, Inc., and National Planning Corporation. James has worked in Tulsa, Oklahoma for the majority of his career.
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.
Consulting and other non-discretionary advisory services
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.
1
2
OK
11/29/2017 - Present
LPL Financial LLC (TULSA OK)
OK
09/09/2011 - 11/29/2017
NATIONAL PLANNING CORPORATION (TULSA OK)
OK
10/05/1994 - 09/09/2011
ING FINANCIAL PARTNERS, INC. (TULSA OK)
AZ
11/19/1989 - 03/10/1995
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
03/21/1988 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
05/08/1969 - 04/12/1988
CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.
NA
02/21/1975 - 05/23/1977
INTEGRATED RESOURCES EQUITY CORPORATION
NA
02/18/1970 - 02/04/1975
CORNERSTONE FINANCIAL SERVICES, INC.
IA
Issued 10/15/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/1992
Series 24 - 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 05/05/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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