Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sander Ries is an active investment advisor representative with Oppenheimer & Co. Inc. James has been in the industry since 1979, and has experience with Morgan Stanley, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, and E. F. Hutton & Company Inc. James holds a Series 7, 3, 8, 9, 10, 63, 65, SIE and 99TO licenses.
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
AZ
05/17/2017 - Present
Oppenheimer & Co. Inc. (SCOTTSDALE AZ)
AZ
06/01/2009 - 06/29/2015
MORGAN STANLEY (SCOTTSDALE AZ)
AZ
02/12/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
NY
05/12/1998 - 02/09/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/28/1984 - 03/19/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/19/1979 - 07/26/1984
E. F. HUTTON & COMPANY INC
NA
02/01/1979 - 05/24/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 11/4/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/16/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 5/6/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 5/31/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/23/1993
Series 3 - National Commodity Futures Examination
BC
Issued 1/20/1979
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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