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JS

James E. Sullivan

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CRD#: 1124575
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Edward Sullivan was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2021 - March 6, 2026

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEW YORK, NY
Past

December 1, 2020 - March 6, 2026

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 19, 2010 - November 19, 2020

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
NEW YORK, NY
Past

February 13, 2007 - May 7, 2010

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
STAMFORD, CT
Past

January 17, 2007 - May 7, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
STAMFORD, CT
Past

March 9, 2006 - January 4, 2007

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

May 29, 2002 - March 15, 2006

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

July 2, 2001 - June 10, 2002

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY
Past

October 9, 1996 - June 27, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 23, 1992 - September 13, 1996

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

November 22, 1989 - April 3, 1992

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

November 2, 1987 - February 1, 1988

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

May 25, 1983 - September 16, 1987

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/6/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/21/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/7/1992
General Securities Principal Examination

Current Firm

OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
85 Broad Street 22nd Floor, New York, NY 10004
Mailing Address
85 Broad Street 22nd Floor, Ny, NY 10004
Phone number
(212) 668-8000
Established
New York since 12/23/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,806

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

OPPENHEIMER & CO. INC. PART 2A APPENDIX 1 (3/19/2026)
OPPENHEIMER & CO. INC. PART 2A OF FORM ADV (3/19/2026)

Direct owners and executive officers

NamePositionCRD#
VINER FINANCE INC.PARENT CO.
CASSIDY, THOMAS EDWARDMANAGING DIRECTOR/DIRECTOR4502955
GIORDANO, PETER JOHNMANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER2921308
HARRINGTON, EDWARD PATRICKEXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES2566682
LOWENTHAL, ALBERT GRINSFELDEREXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L313519
LOWENTHAL, ROBERT STEVENCEO-PRESIDENT-DIRECTOR1639913
MCNAMARA, DENNIS PATRICKE.V.P./CLO/SECRETARY2938486
MOLOKIE JR, LEON EEXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER1743402
VALENTINO, DOMINIC THOMASCHIEF COMPLIANCE OFFICER6940515
WATKINS, BRAD MICHAELDIRECTOR-EXECUTIVE VICE PRESIDENT-CFO6319251

Regulatory assets under management

Total Number of Accounts39,036
AUM (Assets Under Management)$ 36,710,705,748

Disclosures

Regulatory Event102
Civil Event1
Arbitration180
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/24/2026
Cover Page
Report
01/24/2025
Cover Page
Report
10/25/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CRD#: 249

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