James C. Nickens
Professional summary
James Cassell Nickens JR, who also goes by James C Jr Nickens, James Cassell Nickens, Jim Nickens, is a registered financial professional currently at M. S. HOWELLS & CO. located in Scottsdale, Arizona.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Cassell Nickens JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2021 - Present
M. S. HOWELLS & CO.
Office #1: 23350 N. Pima Rd., Scottsdale, AZ 85255May 12, 2020 - September 16, 2021
ICAPITAL MARKETS LLC
December 21, 2017 - November 11, 2021
NAVIAN CAPITAL SECURITIES LLC
July 1, 2014 - December 31, 2017
THE LEADERS GROUP, INC.
August 10, 2012 - July 30, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 3, 2006 - December 31, 2008
KEY INVESTMENT SERVICES LLC
February 3, 2006 - September 28, 2011
KEY INVESTMENT SERVICES LLC
November 20, 2003 - December 31, 2005
NATCITY INVESTMENTS, INC.
July 24, 1998 - September 17, 2003
FIFTH THIRD SECURITIES, INC.
July 3, 1997 - July 31, 1998
FIFTH THIRD SECURITIES, INC.
November 2, 1993 - May 28, 1997
BANC ONE SECURITIES CORPORATION
November 24, 1992 - February 25, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 24, 1992 - February 25, 1993
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/11/2021)
(1/6/2022)
(11/11/2021)
(1/6/2022)
(11/14/2024)
(11/11/2021)
(11/11/2021)
(1/3/2023)
Exams
FINRA
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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