James L. Nicholson
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 L Nicholson II, who also goes by James L Nicholson, James Leslie Nicholson II, James Leslie Nicholson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 4 firms and has passed the Series 65, Series 66, SIE 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
November 13, 2023 - April 8, 2025
PINNACLE WEALTH ADVISORS
January 8, 2015 - May 22, 2019
FIRST HORIZON ADVISORS, INC.
January 8, 2015 - May 22, 2019
FIRST HORIZON ADVISORS, INC.
July 15, 2013 - August 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2013 - August 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2009 - June 7, 2013
BARCLAYS CAPITAL INC.
May 14, 2009 - June 7, 2013
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PINNACLE WEALTH ADVISORS
CRD#: 132634 / SEC#: 801-67352
Contact information
Regulatory assets under management
| Total Number of Accounts | 259 |
| AUM (Assets Under Management) | $ 936,496,459 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2025 | ||
| 03/28/2024 | ||
| 02/27/2023 |
Red Flags
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