Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Phillip Armstrong is a financial advisor with Oppenheimer & Co. Inc. based in FLORHAM PARK, NJ. James Armstrong has been working in the financial services industry since December 19, 2002. He has a strong background in securities, having held previous roles at Southwest Securities, Inc., RBC Dain Rauscher Inc., and First Institutional Securities, L.L.C. James Armstrong is a licensed Series 7, 9, 63, 99TO, and SIE representative. James Armstrong offers a variety of financial services, including financial planning, portfolio management, pension consulting, and selection of other advisors.
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
NJ
12/19/2013 - Present
Oppenheimer & Co. Inc. (FLORHAM PARK NJ)
NY
01/26/2007 - 12/18/2013
SOUTHWEST SECURITIES, INC. (NEW YORK NY)
NJ
09/12/2003 - 12/11/2006
RBC DAIN RAUSCHER INC. (WEST PATERSON NJ)
NY
03/07/2003 - 05/09/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NJ
07/02/2002 - 03/07/2003
FIRST INSTITUTIONAL SECURITIES, L.L.C. (WEST PATERSON NJ)
BC
Issued 07/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2019
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 07/01/2002
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 Armstrong is the right advisor for you? Invested Better is here to help.
