James Sidney Herzikoff

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → 10/2017
  Oppenheimer & Co. Inc.
  Los Angeles, CA
• 10/2017 → 03/2020
  Ameriprise Financial Services Inc
  Los Angeles, CA
• 03/2020 → 05/2025
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 05/2025 → Present
  Lpl Financial
  Santa Monica, CA

Previous Registrations

• 2017-10-11 → 2025-05-15
  Ameriprise Financial Services, Llc
  Los Angeles, CA
  Redondo Beach, CA
• 2011-06-14 → 2017-10-13
  Oppenheimer & Co. Inc.
  Los Angeles, CA
• 2006-12-06 → 2011-06-14
  Crowell, Weedon & Co.
  Los Angeles, CA
• 2004-01-20 → 2006-12-07
  Smart Investments Advisory Incorporated
  Redlands, CA
  Irvine, CA

Other Businesses

1) Noble Traditional Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - Santa Monica, CA 90401 - Start date: 4/30/2025 - 160 Hrs/Mth - 80 Hrs During Trading. - Time spent: 100

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-05-07
• S63 Uniform Securities Agent State Law Examination
  1984-06-27