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James Thomas Nichols

Investment Adviser Representative at CAVANAL HILL INVESTMENT MANAGEMENT, INC.

Tulsa, OKCRD #1852696Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
48 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

James Thomas Nichols has worked in the securities industry since 1993. They have passed the Series 65, 63, 26, 7, 6, and 3 examinations. They are registered to provide investment advisory services in 48 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 48 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/21/2025
Series 63
Uniform Securities Agent State Law Examination
Passed 10/17/2006
Series 7
General Securities Representative Examination
Passed 11/27/2019
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/21/2012
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/20/1991
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 2/20/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Cavanal HILL Investment Management, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CAVANAL HILL INVESTMENT MANAGEMENT, INC.Current
11/21/2025Tulsa, OK
CAVANAL HILL DISTRIBUTORS, INC,Current
10/8/2025Croton On Hudson, NY
VISION 4 FUND DISTRIBUTORS
6/6/202410/1/2025Scottsdale, AZ
AIG CAPITAL SERVICES, INC.
6/27/199610/24/2022Jersey City, NJ
ROYAL ALLIANCE ASSOCIATES, INC.
5/22/19917/2/1996Scottsdale, AZ

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Thomas 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.

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James Thomas Nichols - Financial Advisor in Tulsa, OK | AdvisorFinder