James Francis Comerford

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2009-04-07

CT RA
APPROVED

Since 2009-04-07

Branch Locations

29 West Street, Litchfield, CT 06759 • 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	Danbury	CT	04/2009	Present

04/2009 → Present

Oppenheimer & Co

Danbury, CT

Previous Registrations

1999-09-27 → 2009-04-15

Ubs Financial Services Inc.

Hartford, CT

Hartford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-09-29
S63	Uniform Securities Agent State Law Examination	1993-10-28

S65 Uniform Investment Adviser Law Examination

1995-09-29
S63 Uniform Securities Agent State Law Examination

1993-10-28

Other Names

James F Comerford

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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