James Nickerson
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 Nickerson, who also goes by James R. Nickerson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2025 - March 10, 2026
DAVID LERNER ASSOCIATES, INC.
May 31, 2018 - May 9, 2019
NYLIFE SECURITIES LLC
April 2, 2012 - January 29, 2016
NORTHERN CAPITAL SECURITIES CORPORATION
June 1, 2011 - August 25, 2011
ARCA CAPITAL INVESTMENTS, INC.
January 16, 2006 - May 27, 2011
INTL FCSTONE CREDIT TRADING 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
Series 7TO
Date: 1/22/2025
General Securities Representative ExaminationSeries 55
Date: 10/30/2006
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
