NICHOLS, JAMES WILLIAM
Legal name: NICHOLS INVESTMENT MANAGEMENT
CRD #121108 SEC #801-63208 BANGOR, ME 207-942-8737
SEC Registered
Total AUM
$43.9M
Discretionary
$43.9M
Employees
1
Clients
1
Accounts
138
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- Maine
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 5, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
| NICHOLS, JAMES, WILLIAM | I | OWNER / CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jul 5, 2012 REGISTERED
Notice Filings (3)
FL ME NH
Address
175 EXCHANGE STREETBANGOR, ME 04401
United States
Phone: 207-942-8737