Best Investors Account Sign in

James Richard Azeltine

Oppenheimer & Co. Inc.

Leawood, KS

Leawood, KS

Claim This Profile
Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-02-06
NM RA APPROVED 2014-01-31
MO RA APPROVED 2014-01-29
KS RA APPROVED 2014-01-24
CA RA APPROVED 2014-01-22
TX RA APPROVED_RES 2014-01-22
IN RA APPROVED 2014-01-21
NE RA APPROVED 2014-01-17
  • NC RA
    APPROVED
    Since 2014-02-06
  • NM RA
    APPROVED
    Since 2014-01-31
  • MO RA
    APPROVED
    Since 2014-01-29
  • KS RA
    APPROVED
    Since 2014-01-24
  • CA RA
    APPROVED
    Since 2014-01-22
  • TX RA
    APPROVED_RES
    Since 2014-01-22
  • IN RA
    APPROVED
    Since 2014-01-21
  • NE RA
    APPROVED
    Since 2014-01-17

Branch Locations

Mission Farms 10601 Mission Road 3Rd Flr, Leawood, KS 66206 • United States

Leawood, KS • 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 Inc Leawood KS 01/2014 Present
Previous Registrations
  • 2003-07-01 → 2014-01-21
    Wells Fargo Clearing Services, Llc
    Overland Park, KS
    Overland Park, KS
  • 2002-03-07 → 2003-07-01
    Prudential Equity Group, Llc
    Overland Park, KS
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-04
S63 Uniform Securities Agent State Law Examination 1987-10-07
  • S65 Uniform Investment Adviser Law Examination
    2001-05-04
  • S63 Uniform Securities Agent State Law Examination
    1987-10-07

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
FIRST NATIONAL ADVISERS, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
TFB ADVISORS, LLC
BEACON WEALTH ADVISORY
FREESTATE ADVISORS LLC
GAUGHAN & CONNEALY WEALTH MANAGEMENT, LLC

Other Investors

COREY RANDALL BIERL
JASON BRETT COLE
JAY PATRICK SIMPSON
MATTHEW JOHN SCHOENFELD
NATHAN DAVID PAULSON
Michael Nathan Paulson
MICHAEL FRANK BACA
THOMAS SCOTT WOODWARD

Other Offices

LPL FINANCIAL LLC · LEAWOOD, KS
LPL FINANCIAL LLC · LEAWOOD, KS
STATE FARM INVESTMENT MANAGEMENT CORP. · Leawood, KS
FIRST NATIONAL ADVISERS, LLC · Overland Park, KS
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · OVERLAND PARK, KS
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · OVERLAND PARK, KS
TFB ADVISORS, LLC · OVERLAND PARK, KS
BEACON WEALTH ADVISORY · OVERLAND PARK, KS

More in Leawood, KS

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor