Jonathan Moulton

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-07
NJ	RA	APPROVED	2013-05-27

NY RA
APPROVED

Since 2021-04-07
NJ RA
APPROVED

Since 2013-05-27

Branch Locations

300 Westage Business Center Suite 310, Fishkill, NY 12524 • United States

Newburgh, NY • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fahnestock & Co. Inc.	Newburgh	NY	03/2000	Present

03/2000 → Present

Fahnestock & Co. Inc.

Newburgh, NY

Other Businesses

PRESIDENT AND SECRETARY GNM HOLDING, INC. 728 DOGWOOD HILLS TERRACE. NEWBURGH, NY 12550. 2 HRS PERC WEEK. I INHERITED THIS COMPANT WHEN MY FATHER PASSED AWAY. I AM THE SOLE OWNER OF THE CORPORATION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-05-23
S63	Uniform Securities Agent State Law Examination	2000-09-20

S65 Uniform Investment Adviser Law Examination

2013-05-23
S63 Uniform Securities Agent State Law Examination

2000-09-20

View on SEC IAPD