James Nickerson
Professional summary
James Nickerson, who also goes by James R. Nickerson, is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Westport, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has 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) - BD
Click below to view James Nickerson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2025 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 1221 Post Road, Westport, CT 06880May 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
(1/23/2025)
(2/8/2025)
Exams
Series 7TO
Date: 1/22/2025
General Securities Representative ExaminationSeries 55
Date: 10/30/2006
Limited Representative-Equity Trader ExamFINRA
Current 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
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Company Information
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397Westport, CT 06880TRUST BUT VERIFY
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