James Ries
James Ries is a registered investment advisor at Oppenheimer & CO. INC., based in Scottsdale, AZ, with 47 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
Scottsdale Kierland 1,14624 North Scottsdale Road, Suite 190, Scottsdale, AZ, 85254
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Regulatory History (1)
Customer Dispute
October 2020Other Business Activities
James is a co-trustee of a personal family trust established in 2001 as an estate planning tool. This activity is not investment-related.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
E. F. Hutton & Company INCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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