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James Dalton Woodard

Oppenheimer & Co. Inc.

Fort Myers, FL

Fort Myers, FL

CRD 472198

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Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-10-16
VA RA APPROVED 2010-01-29
  • FL RA
    APPROVED
    Since 2024-10-16
  • VA RA
    APPROVED
    Since 2010-01-29

Branch Locations

Fort Myers, FL • United States

6700 Daniels Parkway Ste 1, Fort Myers, FL 33912 • 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 Fort Myers FL 01/2010 Present
  • 01/2010 → Present
    Oppenheimer & Co
    Fort Myers, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-18
S63 Uniform Securities Agent State Law Examination 1991-09-09
  • S65 Uniform Investment Adviser Law Examination
    2004-03-18
  • S63 Uniform Securities Agent State Law Examination
    1991-09-09

View on SEC IAPD

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