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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2011-12-21 |
Branch Locations
5905 E. Galbraith Road Suite 6200, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Cincinnati | OH | 12/2011 | Present |
1) 01/2009 XAVIER UNIVERSITY - VOLUNTEER CLASS AGENT 1982; 1 HR PER MONTH, 0 BUSINESS HRS. HARPJO LLC., A LIMITED LIABILITY COMPANY THAT HOLDS RENTAL REAL ESTATE. I AM 50% OWNER AND PRESIDENT OF THE COMPANY. ESTABLISHED 5/29/18. LESS THAN 1 HOUR PER MONTH, -0- HOURS DURING TRADING HOURS. WE MAINTAIN PROPERTY ACCOUNTING. 1511 SYLVED LN., CINCINNATI, OHIO 45238 2) BOARD MEMEBER FOR THE PORTAGE POINT RESORT, IT IS A CONDOMINIUM COMPLEX OF 37 PROPERTIES. THE POSITION IS ADMINISTRATIVE, WITH NO AUTHORITY TO SPEND, COLLECT OR CONTROL ANY FUNDS. IT IS ONLY TO VOTE ON PROJECTS THAT THE BOARD REVIEWS, IT IS AN ANNUAL POSITION WHICH SHOULD TAKE 2-3 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-01 |
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