Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bruce Haass is a financial advisor at Oppenheimer & Co. Inc. James is a registered representative and investment advisor representative in Colorado. James has been working in the securities industry since 1985. James has worked at a variety of firms, including Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., U.S. Bancorp Investments, Inc., U.S. Bancorp Piper Jaffray Inc., Principal Financial Securities, Inc., and PaineWebber Incorporated. James has a variety of licenses and registrations, including Series 3, 7, 8, 9, 10, 63, 65, 99, and SIE. James also has a variety of specializations, including investment management, financial planning, and retirement planning. James is committed to providing clients with personalized financial advice and investment strategies that meet their individual needs.
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
CO
08/26/2009 - Present
Oppenheimer & Co. Inc. (DENVER CO)
CO
01/01/2008 - 08/25/2009
WELLS FARGO ADVISORS, LLC (DENVER CO)
CO
01/31/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (DENVER CO)
MN
10/28/1999 - 02/20/2001
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
07/23/1997 - 02/07/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
TX
08/28/1992 - 08/14/1997
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
MN
10/16/1987 - 09/09/1992
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NA
12/09/1985 - 10/27/1987
PAINEWEBBER INCORPORATED
IA
Issued 08/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/04/1993
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 01/06/1986
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1985
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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