Tyler William Pratt

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-05-19
CA	RA	APPROVED	2023-05-18

TX RA
APPROVED_RES

Since 2023-05-19
CA RA
APPROVED

Since 2023-05-18

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	La Jolla	CA	03/2008	05/2023
City National Bank	Century City	CA	07/2019	05/2023
Oppenheimer & Co. Inc.	Newport Beach	CA	05/2023	Present

03/2008 → 05/2023

Rbc Capital Markets Corporation

La Jolla, CA
07/2019 → 05/2023

City National Bank

Century City, CA
05/2023 → Present

Oppenheimer & Co. Inc.

Newport Beach, CA

Previous Registrations

2008-03-28 → 2023-05-26

Rbc Capital Markets, Llc

La Jolla, CA

Escondido, CA

La Jolla, CA

Century City, CA

Rolling Hills, CA
2005-07-06 → 2007-11-08

Frontier Financial Advisors, Llc

New York, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-06-02
S65	Uniform Investment Adviser Law Examination	2005-07-12
S66	Uniform Combined State Law Examination	2001-05-30

S63 Uniform Securities Agent State Law Examination

2008-06-02
S65 Uniform Investment Adviser Law Examination

2005-07-12
S66 Uniform Combined State Law Examination

2001-05-30

Other Names

Tyler William Pratt
Tyler Pratt

View on SEC IAPD