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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-09-09
NY RA APPROVED 2024-09-09
UT RA APPROVED 2024-09-09
  • IN RA
    APPROVED
    Since 2024-09-09
  • NY RA
    APPROVED
    Since 2024-09-09
  • UT RA
    APPROVED
    Since 2024-09-09

Branch Locations

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

Salt Lake City, UT • 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
Oppenheimer & Co. Inc. Indianapolis IN 06/2005 Present
Oppenheimer Investment Management Inc. Indianapolis IN 06/2005 Present
  • 06/2005 → Present
    Indianapolis, IN
  • 06/2005 → Present
    Oppenheimer Investment Management Inc.
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-29
  • S66 Uniform Combined State Law Examination
    2001-06-29
Designations

View on SEC IAPD

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