James E. Hunt

TOCQUEVILLE ASSET MANAGEMENT LP

New York, NY 10019

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CRD#: 2003648

Professional summary

James Edward Hunt JR, who also goes by James Edward Hunt, is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Edward Hunt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

TOCQUEVILLE ASSET MANAGEMENT L.P. INVESTMENT ADVISOR, IS AN AFFILIATE OF AND SHARES OFFICES WITH TOCQUEVILLE SECURITIES L.P., EMPLOYMENT DATE 07/2000, TITLE PORTFOLIO MANAGER, APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P. AND VARIES ACCORDING TO BUSINESS REQUIREMENTS. SOFINA USA, BOARD DIRECTOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Hunt JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 22, 2021 - Present

TOCQUEVILLE ASSET MANAGEMENT LP

Office #1: 40 West 57th Street 19th Floor, New York, NY 10019

RIA

CRD#: 105690

New York, NY

Current

November 3, 2000 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019

CRD#: 26001

New York, NY

Past

June 29, 1998 - November 23, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 19, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

February 13, 1990 - May 9, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/6/2014)

Colorado
(11/6/2014)

District of Columbia
(11/6/2014)

Florida
(3/25/2002)

Massachusetts
(1/10/2001)

New Mexico
(1/2/2004)

New York
(11/3/2000)

IAR

New York
(8/22/2021)

Pennsylvania
(10/24/2011)

Rhode Island
(10/24/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

40 West 57th Street 19th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 698-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOCQUEVILLE ASSET MANAGEMENT LP BROCHURE JUNE 2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	2,440
AUM (Assets Under Management)	$ 9,660,385,107

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
09/27/2024	Cover Page	Report
02/22/2024	Cover Page	Report
03/16/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James E. Hunt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Hunt JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOCQUEVILLE SECURITIES L.P.

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

TOCQUEVILLE ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/18/1997

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1990

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOCQUEVILLE ASSET MANAGEMENT LP

TRUST BUT VERIFY

Contact information

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