Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2023-12-02 |
Branch Locations
711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs International Inc. | Houston | TX | 11/2008 | 09/2017 |
| Ubs Financial Services Inc. | Houston | TX | 01/2010 | 09/2017 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 09/2017 | 12/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 12/2017 | 12/2023 |
| Oppenheimer & Co. Inc. | Houston | TX | 12/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2017 | 12/2023 |
COMPANY: ERAT NORTH AMERICA LLC. ACTIVITY: AUTOMATIZATION FOR THE PLASTIC INDUSTRY-NOT INVESTMENT RELATED. ADDRESS: 282 ED ENGLISH DR. STE A, SHENANDOAH, TX 77385. POSITION: MEMBER-GENERAL MANAGER/OWNER-10% EQUITY/OTHER OWNERS: ERICK RAZO-80%/FERNANDO ALEJANDRO VAZQUEZ-10%. STARTING DATE: FEBRUARY 2023. 1 HOUR PER WEEK AFTER SECURITIES TRADING HOURS DEDICATED. NONE OF THE OTHER MEMBERS ARE OR WILL BE CLIENTS. NO CLIENT HAS OR WILL HAVE ECONOMIC INTEREST ON THE COMPANY. THERE WILL BE NO INVESTMENTS DECISIONS RELATED TO THE COMPANY. MY ROLE IS MAINLY A FACILITOR FOR THIS COMPANY TO DO BUSINESS IN THE U.S.A. THE OTHER TWO MEMBERS OWN ERAT S.A. DE C.U. A MEXICAN COMPANY DEDICATED TO THE SAME AS ERAT NORTH AMERICA LLC FOR THE PAST 20 YEARS. THEY DECIDED TO OPEN THE LLC FOR THEIR USA BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-05 |
Reach out to this advisor