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JV
CFP
JV
CFP

James Vanderwaal

Kovack Advisors, INC.
44 Years of Experience
Wilmington, DE
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Vanderwaal is a CFP-designated registered investment advisor at Kovack Advisors, INC., based in Wilmington, DE, with 44 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 Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

2751 Centerville Road, Suite 301, Wilmington, DE, 19808

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

James is involved with Hope in a Bottle, a health and wellness business. He also works with Vanderwaal Group, Inc. providing financial services, employee benefits, and insurance, dedicating about half of his time, and is the President of a fixed insurance agency, spending nearly full-time hours on sales and administration.

Employment History
Current Registrations
Kovack Advisors, INC.
January 2015 - Present · 11 yrs 9 mos
Kovack Securities INC.Broker
October 2014 - Present · 12 yrs
Previous Registrations
Resource Horizons Investment Advisory, INC.
May 2012 - December 2014 · 2 yrs 7 mos
Resource Horizons Group LLCBroker
May 2005 - October 2014 · 9 yrs 5 mos
Terra Securities CorporationBroker
January 2004 - May 2005 · 1 yr 4 mos
Capital Brokerage CorporationBroker
December 1997 - January 2004 · 6 yrs 1 mo
Forth Financial Securities, CorporationBroker
June 1995 - December 1997 · 2 yrs 6 mos
Wharton Equity CorporationBroker
July 1989 - May 1995 · 5 yrs 10 mos
Fsc Securities CorporationBroker
January 1988 - July 1989 · 1 yr 6 mos
Cigna Securities, INC.Broker
November 1983 - February 1988 · 4 yrs 3 mos
Cg Equity Sales CompanyBroker
July 1980 - August 1982 · 2 yrs 1 mo
State Registrations6 states
DEFLMDNJNYPA
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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