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James Richard Wall

Oppenheimer & Co. Inc.

Boston, MA

Boston, MA

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2019-11-13
  • MA RA
    APPROVED
    Since 2019-11-13

Branch Locations

255 State Street 5Th Floor, Boston, MA 02109 • United States

Boston, MA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2015 09/2016
Oppenheimer & Co. Inc. Boston MA 09/2016 Present
  • 10/2015 → 09/2016
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lincoln, RI
  • 09/2016 → Present
    Oppenheimer & Co. Inc.
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-31
S63 Uniform Securities Agent State Law Examination 2016-02-04
  • S65 Uniform Investment Adviser Law Examination
    2019-10-31
  • S63 Uniform Securities Agent State Law Examination
    2016-02-04
Designations
Other Names
  • James Wall

View on SEC IAPD

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COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
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