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James Hitchcock

Raymond James & Associates, INC.
39 Years of Experience
Newport Beach, CA
4 DisclosuresBroker
View SEC Summary
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James Hitchcock is a registered investment advisor at Raymond James & Associates, INC., based in Newport Beach, CA, with 39 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

620 Newport Ctr Dr, Suite 900, Newport Beach, CA, 92660

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2016
Settled
Customer Dispute
November 2004
Settled
Customer Dispute
June 2003
Settled
Customer Dispute
June 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a court-appointed trustee responsible for investing trust assets and gifting to cancer research entities, and he also owns a room rental service. Additionally, James plays in a band for creative fun, performing about once a month; these activities take a few hours per week and about 10-20% of his time, respectively.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
April 2009 - Present · 17 yrs 6 mos
Raymond James & Associates, INC.
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Oppenheimer & CO. INC.
February 2003 - April 2009 · 6 yrs 2 mos
Oppenheimer & CO. INC.Broker
January 2003 - April 2009 · 6 yrs 3 mos
Cibc World Markets CORP.Broker
January 2001 - January 2003 · 2 yrs
First Union Securities, INC.Broker
November 1999 - November 1999 · 0 mos
Prudential Securities IncorporatedBroker
August 1995 - January 2001 · 5 yrs 5 mos
Painewebber IncorporatedBroker
June 1991 - August 1995 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1988 - June 1991 · 3 yrs
Crowell, Weedon & CO.Broker
July 1987 - June 1988 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1986 - June 1991 · 4 yrs 8 mos
State Registrations17 states
ARAZCACOFLHIMAMEMIMTNVNYORSCTXWAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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