Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Nichols is a financial advisor at Wells Fargo Advisors Financial Network, LLC, with over 20 years of experience in the financial services industry. He is registered in 52 states and holds several licenses, including Series 63, 66, 7, 9, and 10. Nichols specializes in providing investment consulting services to institutional clients and financial planning services to individuals and businesses. He has a broad range of experience in the financial services industry, having worked at several firms before joining Wells Fargo Advisors Financial Network, LLC.
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.
Investment consulting services to institutional clients
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
MO
02/12/2014 - Present
Wells Fargo Advisors Financial Network, LLC (ST. LOUIS MO)
MO
10/30/2012 - 01/28/2014
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
IL
01/05/2004 - 11/05/2010
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
01/03/2003 - 01/05/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
08/29/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
MO
08/16/2001 - 07/09/2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
BOTH
Issued 10/13/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/22/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Nichols is the right advisor for you? Invested Better is here to help.
