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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 | 2023-07-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | The Woodlands | TX | 10/2010 | 03/2023 |
| J.P. Morgan Securities Llc | Houston | TX | 03/2023 | 07/2023 |
| Jpmorgan Chase Bank, N.A. | Houston | TX | 03/2023 | 07/2023 |
| Oppenheimer & Co. Inc. | The Woodlands | TX | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-04 |
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