Unclaimed Profile

James William Nichols

NICHOLS, JAMES WILLIAM·BANGOR, Maine

Series 7, Series 6516 years registeredNICHOLS, JAMES WILLIAM

175 EXCHANGE STREET, BANGOR, ME 04401CRD# 823850Firm CRD# 121108

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James William Nichols · BANGOR, ME

Registration

CRD #823850 · NICHOLS, JAMES WILLIAM · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NICHOLS, JAMES WILLIAM

NICHOLS INVESTMENT MANAGEMENT

Jan 2010 – Jun 2026

BANGOR, ME

Registrations & Exams

FINRA examinations passed

Series 7

Series 65

Registration record

First registered · January 13, 2010

Years registered · 16

Disclosure History

2013Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NICHOLS, JAMES WILLIAM

CRD 121108 · SEC 801-63208

AUM

$44M

Regulatory assets under management

Employees

138 client accounts

Services offered by NICHOLS, JAMES WILLIAM

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

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Introduction

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Frequently Asked Questions

What services does James William Nichols offer?

James William Nichols specializes in Financial Planning, Investment Management, Wealth Management.

What are James William Nichols's credentials?

James William Nichols is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James William Nichols located?

James William Nichols is based in BANGOR, Maine, last registered with NICHOLS, JAMES WILLIAM.

How does James William Nichols charge for services?

James William Nichols's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NICHOLS, JAMES WILLIAM?

NICHOLS, JAMES WILLIAM has approximately 1 employees and manages $44M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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