James Herzikoff
James Herzikoff is a registered investment advisor at LPL Financial LLC, based in Santa Monica, CA, with 53 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
401 Wilshire Blvd Fl 12 Pmb 36, Santa Monica, CA, 90401
Get directionsHistory
Regulatory History (5)
Customer Dispute
September 1995Customer Dispute
October 1994Customer Dispute
July 1993Employment Separation After Allegations
May 1993Customer Dispute
April 1993Other Business Activities
James operates Noble Traditional Wealth as a DBA for his LPL business, dedicating full-time hours to this investment-related activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Crowell, Weedon & CO.Broker
Crowell, Weedon & CO.
Seidler Investment Advisors Incorporated
The Seidler Companies IncorporatedBroker
Hagerty, Stewart & Associates, INC.Broker
E*offeringBroker
H.J. Meyers & CO., INC.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
Bear, Stearns & CO. INC.Broker
Bache Halsey Stuart Shields IncorporatedBroker
Dean Witter & CO. IncorporatedBroker
State Registrations6 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.