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Thomas Dean Dudley

Oppenheimer & Co. Inc.

East Lansing, MI

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-12-02
MI RA APPROVED 2015-12-15
  • TX RA
    APPROVED_RES
    Since 2020-12-02
  • MI RA
    APPROVED
    Since 2015-12-15

Branch Locations

1400 Abbott Road Suite 430, East Lansing, MI 48823 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fahnestock & Co., Inc. East Lansing MI 01/1999 Present
  • 01/1999 → Present
    Fahnestock & Co., Inc.
    East Lansing, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-01-22
S63 Uniform Securities Agent State Law Examination 1988-03-07
  • S65 Uniform Investment Adviser Law Examination
    2008-01-22
  • S63 Uniform Securities Agent State Law Examination
    1988-03-07

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · East Lansing, MI
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