James Sander Ries

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-05-17
AZ	RA	APPROVED	2015-08-04

TX RA
APPROVED_RES

Since 2017-05-17
AZ RA
APPROVED

Since 2015-08-04

Branch Locations

Scottsdale Kierland 1,14624 North Scottsdale Road Suite 190, Scottsdale, AZ 85254 • 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	Scottsdale	AZ	07/2015	Present

07/2015 → Present

Oppenheimer & Co Inc

Scottsdale, AZ

Previous Registrations

2009-06-01 → 2015-06-29

Morgan Stanley

Tempe, AZ

Scottsdale, AZ
2001-04-11 → 2009-06-01

Citigroup Global Markets Inc.

Tempe, AZ

Other Businesses

JAMES S. RIES & SUSAN A RIES TIEES, FBO JAMES S. & SUSAN RIES REV TR U/A/D 12/21/2001. PERSONAL FAMILY TRUST. JAMES AND SUSAN RIES, 4535 N. 56TH STREET, PHOENIX, AZ 85018, CO-TRUSTEE OF PERSONAL FAMILY TRUST. 12/21/2001. NONE, NONE, NONE: PERSONAL FAMILY TRUST WAS ESTABLISHED AS A BASIC ESTATE PLANNING TOOL.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-04
S63	Uniform Securities Agent State Law Examination	1982-06-16

S65 Uniform Investment Adviser Law Examination

1993-11-04
S63 Uniform Securities Agent State Law Examination

1982-06-16

View on SEC IAPD