James Klem is a registered investment advisor at Citigroup Global Markets INC., based in Newport, CA, with 27 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
Citi Retail Banking, 1100 Newport Center Drive, Newport, CA, 92660
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Regulatory History
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.
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James owns a single-family home rental property in Oceanport, NJ, since March 2025. He spends minimal time on this investment-related activity.
Employment History
Current Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Previous Registrations
M&t Securities, INC.
M&t Securities, INC.Broker
Capital One Investment Services LLCBroker
Capital One Financial Advisors LLC
LPL Financial LLC
LPL Financial LLCBroker
Ifmg Securities, INC.Broker
Securities Service Network, INC.Broker
Bny Investment Center INC.Broker
Securities America, INC.Broker
Bny Investment Center INC.Broker
Pacific Select Distributors, INC.Broker
A. G. Edwards & Sons, INC.Broker
State Registrations24 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.