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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

JAMES LAUGHLIN WILEY

Advisor at OPPENHEIMER & CO. INC.

WASHINGTON, DC

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Search this name across graphsid dfx:ria:28246668-1a65-ccd2-b1d6-96f30b7cf425

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 24, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OPPENHEIMER & CO. INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 23, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 23, 2012
First registration: Jul 24, 2012
Dual registered: yes, broker-dealer
Other names: JAMES L WILEY
IAPD individual key: 6009174

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPPENHEIMER & CO. INC.	Bd affiliated wealth	May 10, 2021	n/a	yes	WASHINGTON, DC	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 6, 2015	May 20, 2021	no	McLean, VA\|Washington, DC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 24, 2013	Nov 17, 2015	no	BETHESDA, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 24, 2012	Jun 11, 2013	no	WEST PALM BEACH, FL\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	OPPENHEIMER & CO. INC.	May 20, 2021	May 10, 2021	-10	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 17, 2015	Nov 6, 2015	-11	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Jun 11, 2013	Jun 24, 2013	13	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
May 10, 2021 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 6, 2015 to May 20, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 24, 2013 to Nov 17, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 24, 2012 to Jun 11, 2013factForm ADV

Dated events

No dated event names this entity yet.