Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Comerford is a financial advisor with Oppenheimer & Co. Inc., based in Litchfield, Connecticut. James Comerford has been in the financial services industry since March 7, 1994. James Comerford offers advisory services in areas like financial planning, pension consulting, and selection of other advisors.
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
CT
04/07/2009 - Present
Oppenheimer & Co. Inc. (LITCHFIELD CT)
CT
09/10/1999 - 04/15/2009
UBS FINANCIAL SERVICES INC. (HARTFORD CT)
NY
09/19/1995 - 09/24/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MA
12/08/1994 - 09/14/1995
TUCKER ANTHONY INCORPORATED (BOSTON MA)
PA
10/29/1993 - 08/03/1994
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
IA
Issued 09/29/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/10/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/28/1993
Series 6 - Investment Company Products/Variable Contracts 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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