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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sidney Herzikoff is a financial advisor who has been in the industry since 1972. James currently works with Ameriprise Financial Services, LLC and has been registered with them since 2017. James is licensed in 16 states for broker-dealer and investment advisor services, and has a total of 14 years of experience with Oppenheimer & Co. Inc. James's previous employers include Crowell, Weedon & Co., The Seidler Companies Incorporated, Hagerty, Stewart & Associates, Inc., E*OFFERING, H.J. Meyers & Co., Inc., Smith Barney Inc., Lehman Brothers Inc., Bear, Stearns & Co. Inc., Bache Halsey Stuart Shields Incorporated, and Dean Witter & Co. Incorporated.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
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
01/25/2024 - Present
Ameriprise Financial Services, LLC (Los Angeles CA)
CA
06/13/2011 - 10/13/2017
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
CA
12/06/2006 - 06/14/2011
CROWELL, WEEDON & CO. (LOS ANGELES CA)
CA
01/02/2001 - 12/07/2006
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
CA
05/24/1999 - 01/02/2001
HAGERTY, STEWART & ASSOCIATES, INC. (SAN DIEGO CA)
CA
10/19/1998 - 04/21/1999
E*OFFERING (SAN FRANCISCO CA)
NY
12/21/1995 - 10/05/1998
H.J. MEYERS & CO., INC. (ROCHESTER NY)
NY
07/31/1993 - 12/05/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
05/26/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/10/1981 - 05/26/1993
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
10/03/1977 - 03/10/1981
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
06/23/1969 - 09/05/1974
DEAN WITTER & CO. INCORPORATED
IA
Issued 05/07/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/1978
PC - AMEX Put and Call Exam
BC
Issued 09/17/1977
Series 7 - General Securities Representative Examination
BC
Issued 06/16/1969
Series 000 - General Securities Principal Examination
BC
Issued 06/16/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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