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NJ

Natalie J. James

ORION PORTFOLIO SOLUTIONS
Omaha, NE 68130
Some features on this profile are disabled
CRD#: 6343923
NJ

Professional summary

Natalie J James, who also goes by Natalie Joyce Herzog, is a registered financial advisor currently at ORION PORTFOLIO SOLUTIONS, LLC located in Omaha, Nebraska and BRINKER CAPITAL SECURITIES, LLC located in Berwyn, Pennsylvania.

Natalie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Natalie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Natalie Joyce Herzog

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Natalie J James'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

February 1, 2023 - Present

ORION PORTFOLIO SOLUTIONS, LLC

Office #1: 17605 Wright St, Omaha, NE 68130
RIA
CRD#: 107975
Omaha, NE
Current

February 22, 2023 - Present

BRINKER CAPITAL SECURITIES, LLC

Office #1: 1055 Westlakes Drive Suite 250, Berwyn, PA 19312
BD
CRD#: 38123
Berwyn, PA
Past

January 25, 2021 - January 6, 2023

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
Denver, CO
Past

November 18, 2014 - June 29, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
CHICAGO, IL
Past

November 18, 2014 - November 17, 2020

TD AMERITRADE, INC.

RIA
CRD#: 7870
Denver, CO
Past

September 16, 2014 - November 17, 2020

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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".
OP
ORION PORTFOLIO SOLUTIONS, LLC
BRINKER CAPITAL INVESTMENTS | ORION PORTFOLIO SOLUTIONS, LLC. | ORION PORTFOLIO SOLUTIONS, LLC | CLS INVESTMENTS, LLC | CLS INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM INC | BRINKER CAPITAL INVESTMENTS, LLC.

CRD#: 107975 / SEC#: 801-57265

RIA
Registered Investment Advisory firm - (1/1/2000 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.

Highlighted states indicate IAR registrations

IAR
Nebraska
(2/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2014
Uniform Combined 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: 9/16/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OP
ORION PORTFOLIO SOLUTIONS, LLC
BRINKER CAPITAL INVESTMENTS | ORION PORTFOLIO SOLUTIONS, LLC. | ORION PORTFOLIO SOLUTIONS, LLC | CLS INVESTMENTS, LLC | CLS INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM INC | BRINKER CAPITAL INVESTMENTS, LLC.

CRD#: 107975 / SEC#: 801-57265

RIA
Registered Investment Advisory firm - (1/1/2000 Approved)
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Contact information

Main Address
17605 Wright St, Omaha, NE 68130
Mailing Address
2300 Litton Lane Suite 100, Hebron, KY 41048
Phone number
(859) 426-2000
Established
Firm type
Fiscal year end
# of Employees
350

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

ORION PORTFOLIO SOLUTIONS, LLC FORM ADV PART 2A (8/11/2025)
ORION PORTFOLIO SOLUTIONS, LLC WRAP FEE BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts203,878
AUM (Assets Under Management)$ 57,658,151,186

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2025
Cover Page
Report
10/21/2024
Cover Page
Report
01/17/2024
Cover Page
Report
10/25/2022
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.

Company Information

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975Omaha, NE 68130

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