James O. Sher

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CRD#: 1451695

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 Overman Sher was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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

June 21, 2021 - February 4, 2022

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 42941

GOLDEN VALLEY, MN

Past

June 21, 2021 - February 4, 2022

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

January 16, 2014 - May 27, 2021

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

MINNEAPOLIS, MN

Past

January 28, 2003 - May 27, 2021

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

MINNEAPOLIS, MN

Past

October 25, 2001 - January 27, 2003

COLLIERS SECURITIES LLC

CRD#: 7477

MINNEAPOLIS, MN

Past

January 1, 2001 - October 31, 2001

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

Past

November 15, 1996 - January 1, 2001

MJK CLEARING, INC.

CRD#: 8678

MINNEAPOLIS, MN

Past

September 1, 1994 - November 22, 1996

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

August 20, 1993 - September 1, 1994

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

July 31, 1993 - August 31, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 14, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 19, 1986 - March 26, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/21/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/27/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/11/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089

Mailing Address

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089

Phone number

(763) 923-2200

Established

Minnesota since 03/13/1997

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/16/2024)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,501
AUM (Assets Under Management)	$ 456,416,227

Disclosures

Regulatory Event	8
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

James O. Sher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

COLLIERS SECURITIES LLC

MILLER JOHNSON STEICHEN KINNARD, INC.

MJK CLEARING, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

HAMILTON INVESTMENTS, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1992

Series 63

Date: 1/20/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 10

Date: 3/27/2003

Series 9

Date: 3/11/2003

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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