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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dean Johnson is a financial advisor who is registered with the state of New York. James Dean Johnson is affiliated with Oppenheimer & Co. Inc. The advisor is located at 85 Broad Street in New York, NY. James Dean Johnson has been a registered representative since 1995 and previously worked at Keefe, Bruyette & Woods, Inc. and Morgan Stanley & Co., Incorporated. James Dean Johnson has passed the Series 63, Series 87, Series 7, and Series 86 exams. James Dean Johnson has worked in the financial services industry since 2003.
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.
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2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
04/03/2002 - 07/06/2007
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
11/06/1995 - 05/10/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 03/14/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/26/2013
Series 7 - General Securities Representative Examination
BC
Issued 01/04/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
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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