Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hugh Williams is a financial advisor with over 40 years of experience in the financial services industry. James is currently registered with Oppenheimer & Co. Inc. in Greensboro, NC, where James has been employed since June 2010. James holds several licenses and registrations, including Series 3, 7, 8, 9, 10, 63, 65, and 66. James also holds the SIE and 99TO licenses. In the past, James has worked for firms like Morgan Keegan & Company, Inc., Wachovia Securities, Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc.
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
NC
06/11/2010 - Present
Oppenheimer & Co. Inc. (GREENSBORO NC)
NC
03/15/2002 - 06/14/2010
MORGAN KEEGAN & COMPANY, INC. (GREENSBORO NC)
NC
07/26/1993 - 04/25/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
05/14/1988 - 07/30/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/28/1980 - 05/14/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 8/8/2002
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/8/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/7/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/29/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1988
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1980
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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