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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
| CT | RA | APPROVED | 2020-01-30 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Southport | CT | 03/2008 | 01/2020 |
| Oppenheimer & Co. Inc. | Stamford | CT | 01/2020 | Present |
1. TRUSTEE OF THE LYNNE ROTH IRREVOCABLE TRUST - EMPLOYEE RELATED ACCOUNT - LESS THAN 1 HOUR PER MONTH - APPROVED BY OPPENHEIMER ON 3/27/20 2. CO-TRUSTEE OF THE LYNNE ROTH REVOCABLE TRUST - EMPLOYEE RELATED ACCOUNT- LESS THAN 1 HOUR PER WEEK - APPROVED BY OPPENHEIMER ON 3/27/20
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-08 |
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