James Nicholson, financial advisor Louisville KY
96 score

James Nicholson

CRD Number: 5313260
Current Firm: Silver Oak Securities, Inc.

James Nicholson (CRD# 5313260) is an Investment Advisor Representative working at Silver Oak Securities, Inc. in Louisville, KY and has over 9 years of experience in the finance industry. James Nicholson has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Silver Oak Securities Inc. Jackson, TN Mar 2016 - Current < 1
Capital Wealth Management LLC Louisville, KY Feb 2016 - Current < 1
Magnate Wealth Management LLC Louisville, KY Feb 2016 - Current < 1
Nicholson Financial, LLC Louisville, KY Nov 2008 - Current 8
Lpl Financial LLC Louisville, KY Mar 2007 - Dec 2015 8
Sterling G. Thompson Company Louisville, KY Sep 2010 - Feb 2015 4
Odd Jobs Louisville, KY Jun 2006 - Mar 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2007
Contact Info for James C. Nicholson
Phone Number: 731-668-3825
Registered State(s):
  • IN
  • KY
By the Numbers
  • Total Assets Under Management
    215
    MILLIONS
  • Total Number of Accounts
    1,901
    ACCOUNTS
  • Average Account Value
    $112,986
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Market timing services
Types of Clients
Registered States

AL, AR, AZ, CA, CO, CT, FL, GA, IA, IL, IN, KY, LA, MA, MI, MO, NC, NH, NM, OH, PA, SC, TN, TX, VA, WI

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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