Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames George Stames is a registered representative and investment advisor representative, with over 40 years of experience in the financial services industry. James has been with Oppenheimer & Co. Inc. since 2009, working as a financial advisor. Prior to joining Oppenheimer & Co. Inc., James worked at UBS Financial Services Inc., from 1975 to 2009. James specializes in providing financial planning and portfolio management services to individuals, businesses, and pooled investment vehicles. James is registered in 15 states, including Texas, Virginia, Florida, and Maryland, among others. James holds the Series 3, Series 7, Series 63, Series 65, and SIE licenses.
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
VA
05/12/2009 - Present
Oppenheimer & Co. Inc. (RICHMOND VA)
VA
11/21/1975 - 05/11/2009
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
NA
11/20/1975 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 08/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1984
Series 3 - National Commodity Futures Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 11/15/1975
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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