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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2013-07-16 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Stamford | CT | 09/2012 | Present |
MEMBER OF BOARD OF DIRECTOR OF ICCIE. ICCIE IS THE GROUP THAT ISSUES THE "ACI" DESIGNATION FOR CAPTIVE INSURANCE. IT IS AN EDUCATIONAL ORGANIZATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 2012-09-21 |
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