James Harding
James Harding is a registered investment advisor at Hilltop Securities INC., based in Roseville, CA, with 31 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
3400 Douglas Blvd., Suite 100, Roseville, CA, 95661
Get directionsHistory
Regulatory History (2)
Customer Dispute
January 2017Customer Dispute
February 2012Other Business Activities
James owns rental property in Jaco, Costa Rica, since April 2018, dedicating minimal time outside of business hours. This activity is not investment-related and presents no conflict of interest.
Employment History
Current Registrations
Hilltop Securities INC.Broker
Hilltop Securities INC.
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Atlas Securities, INC.Broker
State Registrations36 states
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.