JN
James C. Nicholson
MAGNATE ADVISORY SERVICES
Louisville, KY 40243
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CRD#: 5313260
JN
Professional summary
James Curry Nicholson JR., CFP®, who also goes by James C. Nicholson, Jr, is a registered financial advisor currently at MAGNATE ADVISORY SERVICES, LLC located in Louisville, Kentucky and SILVER OAK SECURITIES, INCORPORATED located in Louisville, Kentucky.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James C. Nicholson, Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Magnate Wealth Management, LLC, start date 02/01/2016, Louisville, Ky, DBA for Magnate Advisory Services, LLC. and Silver Oak Securities, Inc. Also, a licensed insurance agency selling Non-Variable Insurance (Fixed Annuities, Equity Indexed Annuities, Life Insurance, Long term care and disability income), Managing Partner, 40 hours spent a month and during trading hours, investment related. 2. Mike Brooks & Associates, is investment related, DBA for Magnate Advisory Services, LLC. and Silver Oak Securities, Inc. Investment Management / Financial Planning, Financial Advisor, start date 10/14/2022, 40 hours per month, 40 hours per month during trading hours, Fee Based Compensation, Financial Planning / Investment Management. 3. Capital Wealth Management, LLC start date 02/01/2016, Louisville, KY. A licensed insurance agent selling Non-Variable Insurance (Fixed Annuities, Equity Indexed Annuities, Life Insurance, Long term care and disability income), 10 hours per month, title; agent, investment related. 4. Nicholson Financial, LLC, start date 11/01/2008, Louisville, KY, entity for business expenses and contract management, 1 hour per month after trading hours, not investment related. 5. Registered Representative, Silver Oak Securities, Inc., 400 Blankenbaker Pkwy, Ste. 100, Louisville, KY 40243, investment related, start date of March, 2016, approximate number of hours per month 80 plus including during market hours, duties include acting as a registered representative, selling and servicing approved securities products. 6. Oxford Rhine, is not investment related, Real Estate Sales Agent, start date 08/13/2021,1 hours per month, 0 hours per month during trading hours, commission compensation, refer real estate transactions to Broker / Agents to receive referral commission for real estate transactions. 7. Uspiritus DBA Bellewood & Brooklawn, not investment related, 3121 Brooklawn Campus Drive, Louisville KY, 40218, Child welfare 501(c)(3), Officer/director, Vice Chairman of the Board, start date 01/10/2008, 2 hours per month, 2 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Curry Nicholson JR.'s CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2011
Experience
Current
July 14, 2016 - Present
MAGNATE ADVISORY SERVICES, LLC
Office #1: 400 Blankenbaker Parkway Suite 100, Louisville, KY 40243RIA
CRD#: 283056
Louisville, KY
Current
April 1, 2016 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 400 Blankenbaker Parkway Suite 100, Louisville, KY 40243RIA
BD
CRD#: 46947
Louisville, KY
Past
May 5, 2016 - September 13, 2023
SILVER OAK SECURITIES, INCORPORATED
RIA
CRD#: 46947
LOUISVILLE, KY
Past
July 18, 2007 - January 12, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOUISVILLE, KY
Past
May 11, 2007 - January 12, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
LOUISVILLE, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MAGNATE ADVISORY SERVICES, LLC
EN GARDE! INVESTING LLC | MAGNATE WEALTH MANAGEMENT, LLC | MAGNATE WEALTH MANAGEMENT LLC | MAGNATE WEALTH MANAGEMENT | MAGNATE WEALTH | MAGNATE ADVISORY SERVICES, LLC
CRD#: 283056 / SEC#: 801-118616
RIA
Registered Investment Advisory firm - (4/29/2020 Approved)Indiana
Registered Investment Advisory firm - (5/11/2020 Terminated)Kentucky
Registered Investment Advisory firm - (5/7/2020 Terminated)Ohio
Registered Investment Advisory firm - (5/7/2020 Terminated)Tennessee
Registered Investment Advisory firm - (5/8/2020 Terminated)Texas
Registered Investment Advisory firm - (5/7/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Indiana(7/18/2016)
RR
Indiana(2/21/2019)
RR
Kentucky(4/1/2016)
IAR
Kentucky(7/14/2016)
IAR
Tennessee(7/27/2016)
IAR
Texas(4/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MAGNATE ADVISORY SERVICES, LLC
EN GARDE! INVESTING LLC | MAGNATE WEALTH MANAGEMENT, LLC | MAGNATE WEALTH MANAGEMENT LLC | MAGNATE WEALTH MANAGEMENT | MAGNATE WEALTH | MAGNATE ADVISORY SERVICES, LLC
CRD#: 283056 / SEC#: 801-118616
RIA
Registered Investment Advisory firm - (4/29/2020 Approved)Indiana
Registered Investment Advisory firm - (5/11/2020 Terminated)Kentucky
Registered Investment Advisory firm - (5/7/2020 Terminated)Ohio
Registered Investment Advisory firm - (5/7/2020 Terminated)Tennessee
Registered Investment Advisory firm - (5/8/2020 Terminated)Texas
Registered Investment Advisory firm - (5/7/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Blankenbaker Parkway Suite 100, Louisville, KY 40243
Mailing Address
Phone number
(502) 855-3160
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,074 |
| AUM (Assets Under Management) | $ 260,916,167 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MAGNATE ADVISORY SERVICES, LLC
CRD#: 283056Louisville, KY 40243TRUST BUT VERIFY
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