James Cao
Investment adviser representative at Oppenheimer & Co. Inc.
10 yearsExperience
1 stateRegistered in
$36.7BFirm assets
71 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
10 years in the industry.
- Oppenheimer & Co. Inc.Jul 2025 to now
- UnemployedMay 2025 to Jul 2025
- Goldman SachsJun 2024 to Aug 2024
- Indiana University Recreational SportAug 2022 to May 2025
- DunkinMay 2022 to Jan 2023
- UnemployedAug 2020 to May 2022
- Mahwah Municipal PoolAug 2018 to Aug 2020
- UnemployedJul 2015 to Aug 2018
Exams passed
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (NY).
Oppenheimer & Co. Inc.
$36.7BAssets managed
39,036Clients
1,161Advisers
71 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7941434
- Firm CRD
- 249