• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JAMES ODELL NICHOLS
CRD#: 1012878
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2400 LAKEVIEW PARKWAY
SUITE 200
ALPHARETTA, GA 30009
Registration History
1985199019952000200520102015202020252 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2005 - 2011 (6 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2000 - 2005 (5 years)BJ.C. BRADFORD & CO. (CRD# 1287)1998 - 2000 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1998 (9 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1984 - 1988 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1981 - 1984 (3 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2007 - 2011 (4 years)
Disclosure(s)
View By:
9/29/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 8/9/2016

B
Maryland 1/8/2021

B
Florida 2/13/2013

B
North Carolina 2/13/2013

B
Georgia 2/13/2013

B
Tennessee 2/13/2013

IA
Georgia 2/13/2013

B
Texas 8/9/2023

B
Kentucky 2/13/2013

B
Virginia 9/19/2018

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2400 LAKEVIEW PARKWAY SUITE 200, ALPHARETTA, GA 30009
Atlanta, GA
Registered with this firm since 2/13/2013

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2400 LAKEVIEW PARKWAY SUITE 200, ALPHARETTA, GA 30009
Atlanta, GA
Registered with this firm since 2/13/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/28/2011 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) ALPHARETTA, GA
B
06/20/2011 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) ALPHARETTA, GA
IA
06/08/2007 - 06/21/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ALPHARETTA, GA
B
06/17/2005 - 06/21/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ALPHARETTA, GA
B
05/31/2000 - 06/23/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
06/11/1998 - 06/10/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
09/27/1988 - 06/08/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
10/24/1984 - 09/15/1988 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
10/13/1981 - 10/05/1984 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.