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ChFC
JN
ChFC

James Nichols

LPL Financial LLC
57 Years of Experience
Tulsa, OK
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Nichols is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Tulsa, OK, with 57 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2250 E 73 Street Ste 650, Tulsa, OK, 74136

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2021
Denied
Customer Dispute
October 2012
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is a registered representative for fixed insurance products since 2017. He also works with Financial Planning Resources as a book author (minimal time) and as Chairman (full-time).

Employment History
Current Registrations
LPL Financial LLC
November 2017 - Present · 8 yrs 11 mos
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
September 2011 - December 2017 · 6 yrs 3 mos
National Planning CorporationBroker
September 2011 - November 2017 · 6 yrs 2 mos
Ing Financial Partners, INC
December 1996 - September 2011 · 14 yrs 9 mos
Ing Financial Partners, INC.Broker
October 1994 - September 2011 · 16 yrs 11 mos
Royal Alliance Associates, INC.Broker
November 1989 - March 1995 · 5 yrs 4 mos
Integrated Resources Equity CorporationBroker
March 1988 - November 1989 · 1 yr 8 mos
Integrated Resources Equity CorporationBroker
February 1975 - May 1977 · 2 yrs 3 mos
Cornerstone Financial Services, INC.Broker
February 1970 - February 1975 · 5 yrs
Connecticut Mutual Financial Services, INC.Broker
May 1969 - April 1988 · 18 yrs 11 mos
State Registrations31 states
ALARAZCACOFLGAHIIAILINKSLAMDMIMOMSNCNMNVNYOHOKORPATNTXUTVAWAWY
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.
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James Nichols - Financial Advisor | TrueAdvisor