James Hugh Williams

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2010-06-11

NC RA
APPROVED

Since 2010-06-11

Branch Locations

800 Green Valley Road Suite 300, Greensboro, NC 27408 • 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	Greensboro	NC	06/2010	Present

06/2010 → Present

Oppenheimer & Co

Greensboro, NC

Previous Registrations

2002-08-15 → 2010-06-14

Morgan Keegan & Company, Llc

Greensboro, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-08
S65	Uniform Investment Adviser Law Examination	1991-10-08
S63	Uniform Securities Agent State Law Examination	1981-01-07

S66 Uniform Combined State Law Examination

2002-08-08
S65 Uniform Investment Adviser Law Examination

1991-10-08
S63 Uniform Securities Agent State Law Examination

1981-01-07

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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