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 is a financial advisor registered with Oppenheimer & Co. Inc.. He is based in New York, NY. James has been in the industry since July 21, 1982. He holds Series 3, 4, 7, 9, 10, 24, 63, and 65 licenses and has been registered with Oppenheimer & Co. Inc. since October 24, 2006. He has prior experience with JOSEPHTHAL & CO., INC., TRADEWELL DISCOUNT INVESTING, LLC, J F LOWE & COMPANY INCORPORATED, GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC., J. W. GANT & ASSOCIATES, INC., VANDERBILT SECURITIES, INC., NORBAY SECURITIES INC., BLINDER, ROBINSON & CO.,INC., and DEAN WITTER REYNOLDS INC. James specializes in retirement, asset allocation, portfolio management, and financial planning.
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 03/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/08/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/13/1998
Series 24 - General Securities Principal Examination
BC
Issued 03/31/1987
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2004
Series 3 - National Commodity Futures Examination
BC
Issued 06/19/1982
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
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