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James Cao

Oppenheimer & Co. Inc.

New York, NY

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-08-26
  • NY RA
    APPROVED
    Since 2025-08-26

Branch Locations

666 3Rd Avenue, New York, NY 10017 • 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
Unemployed Mahwah NJ 07/2015 08/2018
Mahwah Municipal Pool Mahwah NJ 08/2018 08/2020
Unemployed Bloomington IN 08/2020 05/2022
Indiana University Recreational Sport Bloomington IN 08/2022 05/2025
Dunkin Ramsey NJ 05/2022 01/2023
Goldman Sachs Cohoes NY 06/2024 08/2024
Unemployed Mahwah NJ 05/2025 07/2025
Oppenheimer & Co. Inc. New York NY 07/2025 Present
  • 07/2015 → 08/2018
    Unemployed
    Mahwah, NJ
  • 08/2018 → 08/2020
    Mahwah Municipal Pool
    Mahwah, NJ
  • 08/2020 → 05/2022
    Unemployed
    Bloomington, IN
  • 08/2022 → 05/2025
    Indiana University Recreational Sport
    Bloomington, IN
  • 05/2022 → 01/2023
    Dunkin
    Ramsey, NJ
  • 06/2024 → 08/2024
    Goldman Sachs
    Cohoes, NY
  • 05/2025 → 07/2025
    Unemployed
    Mahwah, NJ
  • 07/2025 → Present
    Oppenheimer & Co. Inc.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-25
  • S66 Uniform Combined State Law Examination
    2025-08-25

View on SEC IAPD

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