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Kenneth David Smalley

Oppenheimer & Co. Inc.

New York, NY

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-02-23
  • NY RA
    APPROVED
    Since 2026-02-23

Branch Locations

85 Broad Street 26Th Flr, New York, NY 10004 • 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
Seaport Global Holdings Llc New York NY 01/2014 03/2018
Seaport Global Securities Llc New York NY 09/2014 03/2018
Btig Llc New York NY 03/2018 02/2021
Stonex Financial Inc New York NY 06/2021 09/2025
Unemployed New York NY 02/2021 05/2021
Stonex Group Inc New York NY 06/2021 09/2025
Oppenheimer & Co. Inc. New York NY 10/2025 Present
  • 01/2014 → 03/2018
    Seaport Global Holdings Llc
    New York, NY
  • 09/2014 → 03/2018
    Seaport Global Securities Llc
    New York, NY
  • 03/2018 → 02/2021
    Btig Llc
    New York, NY
  • 06/2021 → 09/2025
    Stonex Financial Inc
    New York, NY
  • 02/2021 → 05/2021
    Unemployed
    New York, NY
  • 06/2021 → 09/2025
    Stonex Group Inc
    New York, NY
  • 10/2025 → Present
    Oppenheimer & Co. Inc.
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-10-03
  • S63 Uniform Securities Agent State Law Examination
    2007-10-03
Designations
Other Names
  • Kenneth David Smalley

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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