Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Lowe has been in the financial services industry since July 21, 1982 and is currently registered with Oppenheimer & Co. Inc. James Francis Lowe is a Registered Representative and Investment Adviser Representative. James Francis Lowe has been associated with Oppenheimer & Co. Inc. since October 24, 2006. Prior to joining Oppenheimer & Co. Inc., James Francis Lowe was associated with JOSEPHTHAL & CO., INC. from December 5, 1989 to January 2, 2002; TRADEWELL DISCOUNT INVESTING, LLC from February 4, 1998 to October 26, 2001; J F LOWE & COMPANY INCORPORATED from December 2, 1988 to December 7, 1989; GREENTREE SECURITIES CORP. from January 4, 1988 to December 13, 1988; BROOKS WEINGER ROBBINS & LEEDS INC. from October 17, 1984 to February 3, 1988; J. W. GANT & ASSOCIATES, INC. from September 21, 1984 to October 8, 1984; VANDERBILT SECURITIES, INC. from August 21, 1984 to September 4, 1984; NORBAY SECURITIES INC. from May 16, 1983 to August 22, 1984; BLINDER, ROBINSON & CO.,INC. from June 28, 1982 to May 20, 1983 and DEAN WITTER REYNOLDS INC. from October 4, 1982 to March 21, 1983. James Francis Lowe has passed the Series 63, Series 65, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 4 exams. James Francis Lowe is registered with the state of New Jersey.
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
10/24/2006 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
12/05/1989 - 01/02/2002
JOSEPHTHAL & CO., INC. (NEW YORK NY)
CA
02/04/1998 - 10/26/2001
TRADEWELL DISCOUNT INVESTING, LLC (SAN DIEGO CA)
NA
12/02/1988 - 12/07/1989
J F LOWE & COMPANY INCORPORATED
NA
01/04/1988 - 12/13/1988
GREENTREE SECURITIES CORP.
NA
10/17/1984 - 02/03/1988
BROOKS WEINGER ROBBINS & LEEDS INC.
NA
09/21/1984 - 10/08/1984
J. W. GANT & ASSOCIATES, INC.
NA
08/21/1984 - 09/04/1984
VANDERBILT SECURITIES, INC.
NA
05/16/1983 - 08/22/1984
NORBAY SECURITIES INC.
NA
06/28/1982 - 05/20/1983
BLINDER, ROBINSON & CO.,INC.
NA
10/04/1982 - 03/21/1983
DEAN WITTER REYNOLDS INC.
IA
Issued 10/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/8/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 3/13/1998
Series 24 - General Securities Principal Examination
BC
Issued 3/31/1987
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/9/2004
Series 3 - National Commodity Futures Examination
BC
Issued 6/19/1982
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
Not sure James Lowe is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
