James Herzog, financial advisor Melbourne FL
81 score

James Herzog

CRD Number: 1033540
Current Firm: J. W. Cole Advisors, Inc.

James Herzog (CRD# 1033540) is an Investment Advisor Representative working at J. W. Cole Advisors, Inc. in Melbourne, FL and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
J.w. Cole Advisors, Inc. Tampa, FL Nov 2017 - Current < 1
J.w. Cole Financial, Inc. Tampa, FL Nov 2017 - Current < 1
Minnesota Life St. Paul, MN Mar 2017 - Current 1
Securian Financial Services Inc. St. Paul, MN Mar 2017 - Nov 2017 < 1
Omni Financial Fort Myers, FL Mar 2017 - Nov 2017 < 1
Cadaret, Grant & Company, Inc. Melbourne, FL Dec 2010 - Mar 2017 6
Next Financial Group Melbourne, FL Nov 2009 - Dec 2010 1
Lpl Financial Corporation Melbourne, FL Sep 2009 - Nov 2009 < 1
Mutual Service Corporation West Palm Beach, FL Dec 2006 - Sep 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1988
S66 NASAA Uniform Combined State Law Examination Oct 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James E. Herzog
Phone Number: (813) 935-6776
Firm Website: http://www.jw-cole.com
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    1,501
    MILLIONS
  • Total Number of Accounts
    7,731
    ACCOUNTS
  • Average Account Value
    $194,099
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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