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James Scott Moran

Oppenheimer & Co. Inc.

Birmingham, MI

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2015-12-16
OH RA APPROVED 2009-06-30
NV RA APPROVED 2009-05-28
  • MI RA
    APPROVED
    Since 2015-12-16
  • OH RA
    APPROVED
    Since 2009-06-30
  • NV RA
    APPROVED
    Since 2009-05-28

Branch Locations

385 S. Eton Street, Birmingham, MI 48009 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co Birmingham MI 03/2009 Present
  • 03/2009 → Present
    Oppenheimer & Co
    Birmingham, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-10-14
S66 Uniform Combined State Law Examination 1998-04-16
  • S65 Uniform Investment Adviser Law Examination
    2009-10-14
  • S66 Uniform Combined State Law Examination
    1998-04-16
Other Names
  • Jamie Moran
  • James S Moran

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RISK PARADIGM GROUP, LLC
INNOVIA WEALTH, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
TOWNSEND STREET CAPITAL MANAGEMENT
VALSTONE PARTNERS VI

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Maxwell James Hunt
Scott Schramm
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Jared M. Rhein

Other Offices

J.P. MORGAN SECURITIES LLC · Birmingham, MI
WELLS FARGO CLEARING SERVICES, LLC · BIRMINGHAM, MI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BIRMINGHAM, MI
RISK PARADIGM GROUP, LLC · Birmingham, MI
WELLS FARGO CLEARING SERVICES, LLC · BIRMINGHAM, MI
INNOVIA WEALTH, LLC · Birmingham, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · BIRMINGHAM, MI
TOWNSEND STREET CAPITAL MANAGEMENT · BIRMINGHAM, MI

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