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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wiley is a Registered Representative with Oppenheimer & Co. Inc. located in Washington, District of Columbia. James has been in the industry since 2012 and has been with Oppenheimer & Co. Inc. since 2021. James specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and pooled investment vehicles. James previously worked with UBS Financial Services Inc. and Morgan Stanley. James is licensed to provide securities and investment advisory services in the District of Columbia, Virginia, Maryland, Massachusetts, and Florida. James holds the Series 7, Series 9, Series 10, Series 66, and Series 99TO licenses. James is a member of FINRA and the Securities Investor Protection Corporation (SIPC).
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
DC
05/10/2021 - Present
Oppenheimer & Co. Inc. (WASHINGTON DC)
DC
11/06/2015 - 05/20/2021
UBS FINANCIAL SERVICES INC. (Washington DC)
MD
06/24/2013 - 11/17/2015
MORGAN STANLEY (BETHESDA MD)
NY
06/05/2012 - 06/11/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/23/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/18/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/04/2015
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 06/04/2012
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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