James Edward Fahey

Current Employers

Wellington Shields & Co., Llc

60 Broad St. 39Th Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2017-02-07

NJ RA
APPROVED

Since 2017-02-07

Branch Locations

63 Forest Avenue, Locust Valley, NY 11560 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Jericho	NY	09/2012	11/2016
Wellington Shields & Co.	Locust Valley	NY	11/2016	Present

09/2012 → 11/2016

Oppenheimer & Co. Inc.

Jericho, NY
11/2016 → Present

Wellington Shields & Co.

Locust Valley, NY

Previous Registrations

2012-10-15 → 2016-11-11

Oppenheimer & Co. Inc.

Jericho, NY
2005-07-19 → 2012-09-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-08-27
S63	Uniform Securities Agent State Law Examination	1991-12-12

S65 Uniform Investment Adviser Law Examination

2014-08-27
S63 Uniform Securities Agent State Law Examination

1991-12-12

View on SEC IAPD

Current Employers

Wellington Shields & Co., Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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