Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Walker is a financial professional with over 40 years of experience in the industry. James is currently registered as a Registered Representative and Investment Advisor Representative with Oppenheimer & Co. Inc., where he has been employed since April 2006. Previously, he worked for Citigroup Global Markets Inc., Morgan Stanley DW Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds several licenses, including Series 3, 7, 8, 9, 10, 15, 63, 65, SIE, and 99TO. James specializes in working with high-net-worth individuals, corporations, pension and profit-sharing plans, and other entity types. His primary focus is on portfolio management and financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
WA
05/02/2006 - Present
Oppenheimer & Co. Inc. (SEATTLE WA)
NY
02/13/2003 - 06/08/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/23/1990 - 02/14/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/22/1982 - 04/04/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1990
Series 5 - Interest Rate Options Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 03/15/1983
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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