Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Azeltine is a financial advisor with Oppenheimer & Co. Inc. based in Leawood, Kansas. James has been in the financial industry since 1987 and has worked for several firms, including Wells Fargo Advisors, LLC, Prudential Securities Incorporated, George K. Baum & Company, and Piper Jaffray Inc. James has a wide range of experience, including providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and other entities. James is registered with FINRA as well as in 23 states.
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
KS
01/22/2014 - Present
Oppenheimer & Co. Inc. (LEAWOOD KS)
KS
07/01/2003 - 01/21/2014
WELLS FARGO ADVISORS, LLC (OVERLAND PARK KS)
NY
11/17/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
01/22/1997 - 11/14/2000
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
MN
09/29/1987 - 01/31/1997
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 05/04/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
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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