Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moran is an investment advisor representative with Oppenheimer & Co. Inc. James Moran has been in the financial services industry since March 1998. James Moran is registered with FINRA and the state of Michigan. James Moran is also registered as an Investment Advisor Representative with the state of Michigan. James Moran has passed the Series 65, Series 66, and Series 7 exams. James Moran is also a registered representative of Oppenheimer & Co. Inc. James Moran's firm, Oppenheimer & Co. Inc., is based in New York, NY. Oppenheimer & Co. Inc. manages over $27.45 Billion in assets under management. James Moran's firm, Oppenheimer & Co. Inc., provides financial planning, pension consulting, selection of other advisors, 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.
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2
MI
06/30/2009 - Present
Oppenheimer & Co. Inc. (BIRMINGHAM MI)
MI
03/11/1998 - 03/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUBURN HILLS MI)
IA
Issued 10/14/2009
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 4/16/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/9/1998
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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