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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| IL | RA | APPROVED | 2021-01-27 |
| MO | RA | APPROVED | 2021-01-20 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
Mark Twain Plaza 1, 101 West Vandalia Street Suite 200, Edwardsville, IL 62025 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Shiloh | IL | 08/2013 | 01/2018 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 01/2021 |
| Morgan Stanley | Shiloh | IL | 01/2018 | 01/2021 |
| Oppenheimer & Co. Inc | Edwardsville | IL | 01/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-24 |
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