James F. Nicklaus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Frederick Nicklaus was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2009 - February 4, 2016
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
December 1, 1993 - February 4, 2016
FBL MARKETING SERVICES, LLC
August 12, 1986 - February 19, 1992
FBL MARKETING SERVICES, LLC
October 3, 1983 - September 30, 1985
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
CRD#: 5308 / SEC#: 801-7655, 8-15854
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FBL FINANCIAL SERVICES, INC. | OWNER | |
| BRANNEN, JAMES PATRICK | CFO & DIRECTOR | 2746986 |
| COOMBS, SUSAN MARIE | MUTUAL FUND ACCOUNTING DIRECTOR | 3181559 |
| MARKER, DENNIS MICHAEL | PRESIDENT & DIRECTOR | 872474 |
| MORAIN, STEPHEN M | SENIOR VP, GENERAL COUNSEL & DIRECTOR | 1033225 |
| NOYCE, JAMES WILLIAM | VICE PRESIDENT, TREASURER & DIRECTOR | 2152118 |
| ODDY, WILLIAM JOSEPH | CEO & DIRECTOR | 350982 |
| PAULE, JOHN M | CMO & DIRECTOR | 3000719 |
| ROJOHN, KRISTI | INVESTMENT COMPLIANCE VP, SECY | 1700348 |
| RUMELHART, JOANN WESLIE | EXECUTIVE VP & DIRECTOR | 2145908 |
| SANDBURG, LOUANN GERHARD | VP - INVESTMENTS, ASST TREAS & DIRECTOR | 727918 |
| WILSON, LYNN ELDEN | VP & DIRECTOR | 2636153 |
Red Flags
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