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NICHOLAS PETER JAMES
NICHOLAS P JAMES
CRD#: 5953277
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Investment Adviser
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Previous Broker
JAMES EQUITY MANAGEMENT, LLCCRD#: 334190 777 BRICKELL AVE
STE 500
MIAMI, FL 33131
Registration History
20122014201620182020202220242026IAJAMES EQUITY MANAGEMENT, LLC (CRD# 334190)2025 - Present (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2012 - 2017 (4 years)BLEGEND SECURITIES, INC. (CRD# 44952)2011 - 2012 (1 year)IAJAMES FAMILY CAPITAL (CRD# 288584)2017 - 2025 (7 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - 2017 (3 years)
License(s)

State Registrations

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Florida 1/16/2025

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Pennsylvania 1/16/2025

Current Registration(s)
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JAMES EQUITY MANAGEMENT, LLC (CRD#:334190)
777 BRICKELL AVE STE 500, MIAMI, FL 33131
Registered with this firm since 1/16/2025

Previous Registration(s)
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07/21/2017 - 01/24/2025 JAMES FAMILY CAPITAL (CRD#:288584) PHILADELPHIA, PA
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10/25/2013 - 07/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LEMOYNE, PA
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10/01/2012 - 07/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LEMOYNE, PA
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08/25/2011 - 09/26/2012 LEGEND SECURITIES, INC. (CRD#:44952)
FINRA expelled the firm on 04/17/2017
NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
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