Cassandra Nichols

New York Life Investment Management LLC

18 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

New York Life Investment Management LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

82 advisors

Number of Clients

1,042 clients

Average Client Portfolio

$108.6M average

Assets Under Management

$113.2B

Fee Structure

Minimum Investment:$100K

Financial Planning:Investment management only

Location

Glen Ellyn, IL

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Nylife Distributors LLCBroker

March 2023 - Present · 2 yrs 11 mos

New York Life Investment Management LLC

March 2023 - Present · 2 yrs 11 mos

Nylife Distributors LLC

March 2023 - Present · 2 yrs 11 mos

Previous Registrations

Calamos Advisors LLC

December 2012 - March 2023 · 10 yrs 3 mos

Calamos Financial Services LLCBroker

January 2010 - March 2023 · 13 yrs 2 mos

Calamos Wealth Management LLC

January 2010 - December 2012 · 2 yrs 11 mos

Chase Investment Services CORP.Broker

December 2008 - January 2010 · 1 yr 1 mo

Chase Investment Services CORP.

December 2008 - January 2010 · 1 yr 1 mo

Strategic Advisers, INC.

November 2007 - November 2008 · 1 yr

Fidelity Brokerage Services LLCBroker

August 2007 - November 2008 · 1 yr 3 mos

State Registrations13 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.