Cassandra Nichols
Investment Adviser Representative at NEW YORK LIFE Investment Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Cassandra Nichols is an investment adviser representative with NEW YORK LIFE Investment Management LLC in Glen Ellyn, IL, where they have been registered since 2023. They have worked in the securities industry since 2007 and have been registered with 5 firms, including Calamos Advisors LLC and Calamos Wealth Management LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Illinois.
Registrations & licenses
- Investment adviser:
- Illinois
- Broker:
14 states and territories
California, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Michigan, Missouri, Ohio, Oklahoma, Tennessee, Texas, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Calamos Financial Services LLCJan 2010 – Mar 2023Naperville, IL
- Calamos Advisors LLCJan 2010 – Mar 2023Naperville, IL
- New York Life InvestmentsMar 2023 – no end date reportedGlen Ellyn, IL
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About NEW YORK LIFE Investment Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 88
- Offices listed on AdvisorFinder:
- 1
- Main office:
- New York, NY
- SEC file number:
- 801-57396
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at NEW YORK LIFE Investment Management LLC
Showing 12 of 88 in the directory
Similar advisors in Glen Ellyn, IL
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cassandra Nichols has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched