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JAMES RICHARD WALL
JAMES WALL
CRD#: 6573375
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 255 STATE STREET
5TH FLOOR
BOSTON, MA 02109
Registration History
201520162017201820192020202120222023202420252026IAOPPENHEIMER & CO. INC. (CRD# 249)2019 - Present (5 years)BOPPENHEIMER & CO. INC. (CRD# 249)2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2015 - 2016 (<1 year)
License(s)

State Registrations

B
Arizona 9/28/2016

IA
Massachusetts 11/13/2019

B
California 9/28/2016

B
New Hampshire 2/1/2024

B
Connecticut 9/28/2016

B
New Jersey 9/28/2016

B
Delaware 9/28/2016

B
New York 9/28/2016

B
District of Columbia 9/28/2016

B
Ohio 9/28/2016

B
Florida 9/28/2016

B
Rhode Island 2/1/2024

B
Georgia 2/6/2024

B
South Carolina 1/3/2024

B
Illinois 2/6/2024

B
Tennessee 2/1/2024

B
Maine 9/27/2018

B
Utah 4/25/2022

B
Maryland 9/28/2016

B
Virginia 9/28/2016

B
Massachusetts 9/28/2016

B
Washington 2/6/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
255 STATE STREET 5TH FLOOR, BOSTON, MA 02109
BOSTON, MA
Registered with this firm since 11/13/2019

B
OPPENHEIMER & CO. INC. (CRD#:249)
255 STATE STREET 5TH FLOOR, BOSTON, MA 02109
BOSTON, MA
Registered with this firm since 9/28/2016

Previous Registration(s)
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B
11/24/2015 - 09/28/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.