Nicholas P. James

JAMES EQUITY MANAGEMENT

MIAMI, FL 33131

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CRD#: 5953277

Professional summary

Nicholas Peter James, who also goes by Nicholas P James, is a registered financial advisor currently at JAMES EQUITY MANAGEMENT, LLC located in Miami, Florida.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicholas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas P James

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.

JAMES FAMILY CAPITAL, LLC; INVESTMENT RELATED; 1800 JFK BLVD STE 300 PHILADELPHIA, PA 19103; INVESTMENT ADVISORY FIRM; SHAREHOLDER; SHAREHOLDER; 07/2019; 0 HOURS; 0 HOURS; NOT INVOLVED IN BUSINESS OPERATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter James'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®

None

Experience

Current

January 16, 2025 - Present

JAMES EQUITY MANAGEMENT, LLC

Office #1: 777 Brickell Ave Ste 500, Miami, FL 33131

RIA

CRD#: 334190

MIAMI, FL

Past

July 21, 2017 - January 24, 2025

JAMES FAMILY CAPITAL

RIA

CRD#: 288584

PHILADELPHIA, PA

Past

October 25, 2013 - July 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEMOYNE, PA

Past

October 1, 2012 - July 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEMOYNE, PA

Past

August 25, 2011 - September 26, 2012

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/16/2025)

IAR

Pennsylvania
(1/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/24/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/9/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2011

General Securities Representative Examination

Current Firm

JAMES EQUITY MANAGEMENT, LLC

CRD#: 334190 / SEC#:

Florida

Registered Investment Advisory firm - (1/16/2025 Approved)

Pennsylvania

Registered Investment Advisory firm - (1/16/2025 Approved)

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Contact information

Main Address

777 Brickell Ave Ste 500, Miami, FL 33131

Mailing Address

Phone number

(305) 209-2113

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Nicholas P. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter James's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES EQUITY MANAGEMENT, LLC

JAMES FAMILY CAPITAL

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LEGEND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2013

Series 63

Date: 9/9/2011

SIE

Date: 7/25/2017

Series 7

Date: 8/24/2011

Current Firm

JAMES EQUITY MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

JAMES EQUITY MANAGEMENT, LLC

TRUST BUT VERIFY

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