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James Turner Norris

Oppenheimer & Co. Inc.

Asheville, NC

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-02-07
NC RA APPROVED 2011-11-04
  • TX RA
    APPROVED_RES
    Since 2018-02-07
  • NC RA
    APPROVED
    Since 2011-11-04

Branch Locations

10 Brook Street Suite 290, Asheville, NC 28803 • 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 Asheville NC 11/2011 Present
  • 11/2011 → Present
    Oppenheimer & Co
    Asheville, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-29
S63 Uniform Securities Agent State Law Examination 1999-01-28
  • S65 Uniform Investment Adviser Law Examination
    2000-04-29
  • S63 Uniform Securities Agent State Law Examination
    1999-01-28
Designations
Other Names
  • James Turner Norris

View on SEC IAPD

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