Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Martin Hickey is an investment advisor representative with Emerson Equity LLC and has been in the industry since 1988. James Martin Hickey's current registrations are with the state of California for both broker-dealer and investment advisor. James Martin Hickey also holds registrations in Nevada and Arizona. James Martin Hickey is a registered principal with Emerson Equity LLC. Prior to joining Emerson Equity LLC, James Martin Hickey was with Select Capital Corporation in Ladera Ranch, CA. James Martin Hickey is specialized in providing financial planning, management of private placement life insurance / insurance dedicated funds (single investor private funds), educational seminars, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
06/14/2019 - Present
Emerson Equity LLC (SAN MATEO CA)
CA
09/30/2011 - 06/17/2019
SELECT CAPITAL CORPORATION (LADERA RANCH CA)
CA
03/08/2005 - 10/03/2011
U.S. SELECT SECURITIES LLC (LADERA RANCH CA)
CA
11/21/2003 - 01/03/2005
NNN CAPITAL CORP. (SANTA ANA CA)
NY
12/21/2001 - 11/17/2003
UBS GLOBAL ASSET MANAGEMENT (US) INC. (NEW YORK NY)
NJ
09/15/2000 - 01/17/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
02/17/1998 - 05/05/2000
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
MA
07/10/1997 - 01/30/1998
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
NJ
10/30/1996 - 07/03/1997
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
NY
06/04/1992 - 08/01/1996
RELATED EQUITIES CORPORATION (NEW YORK NY)
NY
02/04/1992 - 06/02/1992
CITICORP SELECT INVESTMENTS, INC. (LONG ISLAND CITY NY)
MN
06/12/1991 - 02/06/1992
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/12/1991 - 02/06/1992
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CO
01/31/1990 - 10/16/1990
JONES INTERNATIONAL SECURITIES, LTD. (ENGLEWOOD CO)
MN
04/26/1989 - 01/16/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/26/1989 - 01/16/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
02/24/1988 - 11/19/1988
CAPITAL ANALYSTS, INCORPORATED
NA
10/20/1987 - 02/01/1988
MCG PORTFOLIO MANAGEMENT CORP.
NA
02/03/1987 - 06/04/1987
LIBERTY GROUP, A CALIFORNIA LIMITED PARTNERSHIP
NA
06/12/1986 - 11/19/1986
AMERICAN CAPITAL FINANCIAL SERVICES, INC.
NA
05/21/1986 - 06/30/1986
WADDELL & REED, INC.
BOTH
Issued 11/19/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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