James Hickey
Advisor at Emerson Equity LLC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Emerson Equity LLC
Location
San Mateo, CA 94402
Credentials
Series 63, Series 66
Industry experience
37 years
About
James Hickey is a financial advisor at Emerson Equity LLC with 37 years of industry experience. He has held positions at CAI Investments, LLC and Select Capital Corporation. At CAI Investments, he serves as Senior Vice President of Capital Markets, focusing on wholesaling alternative investments. Emerson Equity is an SEC-registered investment adviser providing financial planning, portfolio management, insurance consulting, and educational seminars. The firm serves a diverse client base including high-net-worth individuals, pension plans, and charitable organizations, employing a range of investment strategies from capital preservation to aggressive growth.
Client services
Based on Emerson Equity LLC
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
Expertise
Based on Emerson Equity LLC
Concentrated stock management
Private / alternative investments
Retirement plans for business owners (SEP, solo 401k)
Business succession planning
Fee options
Financial planning flat fees range from $1,500 to $75,000 or more; portfolio evaluation services typically $1,500; flat fee portfolio management negotiated
$0+: Negotiable, up to 2.5% maximum annually +: Management fee for Private Placement Life Insurance: typically either a flat fee of $25,000-$50,000 per annum charged quarterly in advance, or a percentage fee up to 0.5% annually capped at $50,000 per annum (0.125% quarterly in advance)
Broker-dealer commissions on securities transactions including 12b-1 fees from mutual funds; commissions on insurance and alternative investment products
Insurance consulting hourly rate varies between $75 and $250 per hour
Minimum fee: Flat fee for financial plans typically ranges from $1,500 to $75,000 or more; Portfolio Evaluation Services flat fee typically approximates $1,500 Fee-only: Flat fees for financial plans and portfolio evaluation services; hourly rates for insurance consulting ($75 to $250 per hour)
Location
155 Bovet Road, Suite 725
San Mateo, CA 94402
Most active in
James H has reported serving >5 clients in these states in the last 12 months.
California
Work history
CAI Investments, LLC
2019 - Present (7 years)
Emerson Equity LLC
2019 - Present (7 years)
Select Capital Corporation
2011 - 2019 (8 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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