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James Hickey

Emerson Equity LLC
37 Years of Experience
Las Vegas, NV
2 DisclosuresBroker
View SEC Summary
View SEC Summary

James Hickey is a registered investment advisor at Emerson Equity LLC, based in Las Vegas, NV, with 37 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Insurance Planning, Investment Management. Their firm serves 679 clients with $330M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
123 advisors
Number of Clients
679 clients
Average Client Portfolio
$483K average
Assets Under Management
$327.9M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.50%
$1M+2.25%

Fees are negotiable. The Advisor, as a registered Broker-Dealer, also receives 12b-1 fees for certain mutual fund transactions.

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

Location

1925 Village Center Circle, Suite `150, Las Vegas, NV, 89134

Get directions

History

Regulatory History (2)
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.
Financial
December 2017
Final
Customer Dispute
December 2015
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James works as a Senior VP in Capital Markets for CAI Investments, wholesaling alternative investments. This takes a few hours per week during securities trading hours.

Employment History
Current Registrations
Emerson Equity LLC
June 2019 - Present · 6 yrs 11 mos
Emerson Equity LLCBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
Select Capital CorporationBroker
September 2011 - June 2019 · 7 yrs 9 mos
U.S. Select Securities LLCBroker
March 2005 - October 2011 · 6 yrs 7 mos
Nnn Capital CORP.Broker
November 2003 - January 2005 · 1 yr 2 mos
UBS Global Asset Management (US) INC.Broker
December 2001 - November 2003 · 1 yr 11 mos
UBS Painewebber INC.Broker
September 2000 - January 2002 · 1 yr 4 mos
Franklin/templeton Distributors, INC.Broker
February 1998 - May 2000 · 2 yrs 3 mos
Putnam Mutual Funds CORP.Broker
July 1997 - January 1998 · 6 mos
Sunamerica Capital Services, INC.Broker
October 1996 - July 1997 · 9 mos
Related Equities CorporationBroker
June 1992 - August 1996 · 4 yrs 2 mos
Citicorp Select Investments, INC.Broker
February 1992 - June 1992 · 4 mos
American Express Financial Advisors INC.Broker
June 1991 - February 1992 · 8 mos
Ids Life Insurance CompanyBroker
June 1991 - February 1992 · 8 mos
Jones International Securities, LTD.Broker
January 1990 - October 1990 · 9 mos
American Express Financial Advisors INC.Broker
April 1989 - January 1990 · 9 mos
Ids Life Insurance CompanyBroker
April 1989 - January 1990 · 9 mos
Capital Analysts, IncorporatedBroker
February 1988 - November 1988 · 9 mos
Mcg Portfolio Management CORP.Broker
October 1987 - February 1988 · 4 mos
Liberty Group, a California Limited PartnershipBroker
February 1987 - June 1987 · 4 mos
American Capital Financial Services, INC.Broker
June 1986 - November 1986 · 5 mos
Waddell & Reed, INC.Broker
May 1986 - June 1986 · 1 mo
State Registrations3 states
AZCANV
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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