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James Richard Korn

NEW York Life Investment Management LLC

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About James Richard Korn

James Korn is a financial advisor with over 16 years of experience in the industry. James is registered with New York Life Investment Management LLC and has also previously worked with CITIGROUP GLOBAL MARKETS INC. James is Series 63, Series 65, Series 7, and Series 24 licensed. James specializes in working with pooled investment vehicles, investment companies, businesses, and individuals. James is currently licensed in Connecticut, New Jersey, and New York.

Firm Information

James Korn is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Korn’s Registration & Firm History

NJ

10/03/2011 - Present

NEW York Life Investment Management LLC (Basking Ridge NJ)

NY

02/22/2007 - 07/24/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/22/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/08/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/18/2023

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Richard Korn.
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