JK
James R. Koller
LAZARI CAPITAL MANAGEMENT
Glendale, CA 91202
Some features on this profile are disabled
CRD#: 5978455
JK
Professional summary
James Richard Koller, who also goes by James R Koller, James Richard Koller, is a registered financial advisor currently at LAZARI CAPITAL MANAGEMENT, INC. located in Glendale, California and LYNDHURST SECURITIES INC. located in Glendale, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James R Koller | James Richard Koller
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.
1) INSURANCE SALES - 300 W. GLENOAKS BLVD, SUITE 202 GLENDALE, CA 91202; SOLE PROPRIETOR; INDENTIFYING INSURANCE NEEDS FOR PROSPECTIVE AND EXISTING CLIENTS; NON INVESTMENT RELATED; <10% OF TIME SPENT 2) LAZARI CAPITAL MANAGEMENT - 300 W. GLENOAKS BOULEVARD, SUITE 202, GLENDALE, CA 91202; INVESTMENT ADVISOR REPRESENTATIVE, INVESTMENT PORTFOLIO MANAGEMENT; INVESTMENT RELATED BUSINESS; 80% OF TIME SPENT 3) DBA: IRON HILL WEALTH MANAGEMENT (DBA OF LAZARI CAPITAL MANAGEMENT, INC.) - 300 W. GLENOAKS BLVD, SUITE 202, GLENDALE, CA 91202; DBA USED FOR LAZARI CAPITAL MANAGEMENT BUSINESS TRANSACTED IN GLENDALE, CA OFFICE ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view James Richard Koller's 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®
NoneExperience
Current
October 26, 2018 - Present
LAZARI CAPITAL MANAGEMENT, INC.
Office #1: 300 W. Glenoaks Blvd Suite 202, Glendale, CA 91202RIA
CRD#: 172932
Glendale, CA
Current
October 19, 2022 - Present
LYNDHURST SECURITIES INC.
Office #1: 300 W Glenoaks Blvd Suite 202, Glendale, CA 91202BD
CRD#: 315582
Glendale, CA
Past
January 14, 2019 - December 1, 2021
KOVACK SECURITIES INC.
BD
CRD#: 44848
Glendale, CA
Past
January 4, 2018 - September 10, 2018
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GLENDALE, CA
Past
June 4, 2013 - September 10, 2018
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GLENDALE, CA
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".
LC
LAZARI CAPITAL MANAGEMENT, INC.
IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L
CRD#: 172932 / SEC#: 801-112927
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (8/20/2018 Terminated)Nevada
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (8/20/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/21/2018 Terminated)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
IAR
California(10/26/2018)
RR
California(10/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LC
LAZARI CAPITAL MANAGEMENT, INC.
IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L
CRD#: 172932 / SEC#: 801-112927
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (8/20/2018 Terminated)Nevada
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (8/20/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6928 Owensmouth Ave. #200, Woodland Hills, CA 91303
Mailing Address
Phone number
(818) 264-0610
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 614,623,292 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
