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 who has been working in the industry since December 17, 2000. James is currently registered with Voya Financial Advisors, Inc. James has been with Voya Financial Advisors, Inc. since September 2014. James previously worked with ING FINANCIAL ADVISERS, LLC from 2000 to 2011. James is registered in 56 states and has the following licenses: Series 6, Series 7, Series 24, Series 63, and Series 66.
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.
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.
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.
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2
CT
02/01/2024 - Present
Voya Financial Advisors, Inc. (WINDSOR CT)
CT
04/24/2003 - 01/03/2011
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
CT
04/04/2000 - 08/08/2002
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
BC
Issued 02/23/2012
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/27/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/03/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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