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 Wall is an active investment advisor representative at Oppenheimer & Co. Inc. Wall has been in the industry since November 2015 and has a broad range of experience in the financial services sector. Wall has passed both the Series 63 and Series 65 exams, as well as the Series 7 and SIE exams. Wall has an extensive background in providing financial advice to individuals, businesses, and institutions. Wall is also a Certified Financial Planner.
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
MA
11/13/2019 - Present
Oppenheimer & Co. Inc. (BOSTON MA)
RI
11/24/2015 - 09/28/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LINCOLN RI)
IA
Issued 10/31/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2015
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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