Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Keith Sullivan is a financial advisor with Oppenheimer & Co. Inc. James has been in the financial industry since 1971. James has a wide range of experience with a number of previous roles at CIBC WORLD MARKETS CORP., OPPENHEIMER & CO., INC., RAYMOND JAMES & ASSOCIATES, INC., JOSEPH C MACKEY & CO., SHERSON HAMMILL & CO and FIRST FLORIDA SECURITIES, INC. James holds a number of licenses and has passed exams including the Series 7TO, SIE, Series 3, PC and Series 1. James is registered in Alabama, Arkansas, Florida, Louisiana, North Carolina, Ohio, South Carolina, Texas, and Virginia. James specializes in various areas of finance including portfolio management for businesses, portfolio management for individuals and portfolio management for pooled investment vehicles.
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
FL
01/03/2003 - Present
Oppenheimer & Co. Inc. (FORT LAUDERDALE FL)
NY
02/06/1980 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
05/08/1972 - 01/07/1980
RAYMOND JAMES & ASSOCIATES, INC.
NA
11/29/1974 - 09/26/1976
JOSEPH C MACKEY & CO.
NA
02/25/1971 - 04/04/1972
SHERSON HAMMILL & CO
NA
11/01/1970 - 03/10/1971
FIRST FLORIDA SECURITIES, INC.
BC
Issued 01/25/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/1970
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/1985
Series 3 - National Commodity Futures Examination
BC
Issued 01/30/1980
PC - AMEX Put and Call Exam
BC
Issued 08/11/1958
Series 1 - Registered 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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