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JK

James R. Korn

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Basking Ridge, NJ
Some features on this profile are disabled
CRD#: 5224606
JK

Professional summary

James Richard Korn, who also goes by James R Korn, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Basking Ridge, New Jersey and NYLIFE DISTRIBUTORS LLC located in Basking Ridge, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James R Korn

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.
Rental property; 108 Glimmer Glass Circle, Manasquan, NJ 08736; owner; 2 hours per month not during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Korn'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

October 3, 2011 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
Basking Ridge, NJ
Current

July 12, 2007 - Present

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Basking Ridge, NJ
Past

April 29, 2011 - May 24, 2011

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
NEW YORK, NY
Past

February 22, 2007 - July 24, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 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.
RR
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

RR
Connecticut
(1/29/2015)
IAR
New Jersey
(10/3/2011)
RR
New York
(11/9/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/22/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/18/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)
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Contact information

Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts1,047
AUM (Assets Under Management)$ 113,162,976,263

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.

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591Basking Ridge, NJ

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