JN
JN
James Nichols
44 Years of Experience
Alpharetta, GA
1 DisclosureBroker
James Nichols is a registered investment advisor at Raymond James & Associates, INC., based in Alpharetta, GA, with 44 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
2400 Lakeview Parkway, Suite 200, Alpharetta, GA, 30009
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 1992Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan Keegan & Company, INC.
June 2011 - February 2013 · 1 yr 8 mos
Morgan Keegan & Company, INC.Broker
June 2011 - February 2013 · 1 yr 8 mos
Wells Fargo Advisors, LLC
June 2007 - June 2011 · 4 yrs
Wells Fargo Advisors, LLCBroker
June 2005 - June 2011 · 6 yrs
Legg Mason Wood Walker, IncorporatedBroker
May 2000 - June 2005 · 5 yrs 1 mo
J.C. Bradford & CO.Broker
June 1998 - June 2000 · 2 yrs
Painewebber IncorporatedBroker
September 1988 - June 1998 · 9 yrs 9 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
October 1984 - September 1988 · 3 yrs 11 mos
Dean Witter Reynolds INC.Broker
October 1981 - October 1984 · 3 yrs
State Registrations9 states
CTFLGAKYMDNCTNTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.