Nicholas James, financial advisor Hummelstown PA
93 score

Nicholas James

CRD Number: 5953277
Current Firm: James Family Capital

Nicholas James (CRD# 5953277) is an Investment Advisor Representative working at James Family Capital in Hummelstown, PA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
James Family Capital, LLC Hummelstown, PA Jul 2017 - Current < 1
Wells Fargo Clearing Services, LLC Camp Hill, PA Nov 2016 - Jul 2017 < 1
Wells Fargo Advisors LLC Camp Hill, PA Sep 2012 - Nov 2016 4
Legend Securities, Inc. New York, NY Jul 2011 - Sep 2012 1
Wagner College Staten Island, NY Aug 2010 - Jul 2011 < 1
Vsc Burlington, VT Aug 2008 - Aug 2010 2
Landmark College Putney, VT Aug 2006 - May 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2011
S66 NASAA Uniform Combined State Law Examination Oct 2013
Contact Info for Nicholas P. James
Phone Number: 717-889-7046
Registered State(s):
  • PA
Current Firm Details
James Family Capital
Firm's CRD Number: 288584
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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

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