Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Sullivan is a registered representative with Oppenheimer & Co. Inc. in New York, NY, with over 30 years of experience in the financial industry. Prior to joining Oppenheimer, James worked at Compass Point Research & Trading, LLC. James's investment experience includes roles at several well-known firms, including RBC Capital Markets Corporation, Sterne, Agee & Leach, Inc., Moors & Cabot, Inc., Sandler, O'Neill & Partners, L.P., Bear, Stearns & Co. Inc., Tucker Anthony Incorporated, First Albany Corporation, Moseley Securities Corporation, and Tucker, Anthony & R. L. Day, Inc. James is also a registered investment advisor in New Jersey and New York. James is series 66, 63, 57TO, SIE, 55, 24, and 7 licensed. James holds a general securities principal license. James is dedicated to providing his clients with a high level of personalized service and investment guidance.
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
NY
02/01/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
05/19/2010 - 11/19/2020
COMPASS POINT RESEARCH & TRADING, LLC (NEW YORK NY)
CT
01/17/2007 - 05/07/2010
RBC CAPITAL MARKETS CORPORATION (STAMFORD CT)
NY
03/09/2006 - 01/04/2007
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
MA
05/29/2002 - 03/15/2006
MOORS & CABOT, INC. (BOSTON MA)
NY
07/02/2001 - 06/10/2002
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NY
10/09/1996 - 06/27/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MA
04/23/1992 - 09/13/1996
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
11/22/1989 - 04/03/1992
FIRST ALBANY CORPORATION (NEW YORK NY)
NA
11/02/1987 - 02/01/1988
MOSELEY SECURITIES CORPORATION
NA
05/25/1983 - 09/16/1987
TUCKER, ANTHONY & R. L. DAY, INC.
BOTH
Issued 1/29/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/7/1992
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/6/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 5/21/1983
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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