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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-08-08
  • NY RA
    APPROVED
    Since 2023-08-08

Branch Locations

666 3Rd Avenue, New York, NY 10017 • United States

Brooklyn, NY • 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
Maxim Group Llc New York NY 11/2008 08/2023
Maxim Financial Advisors Llc New York NY 05/2017 08/2023
Oppenheimer & Co New York NY 08/2023 Present
  • 11/2008 → 08/2023
    Maxim Group Llc
    New York, NY
  • 05/2017 → 08/2023
    New York, NY
  • 08/2023 → Present
    Oppenheimer & Co
    New York, NY
Previous Registrations
Other Businesses

I AM A LANDLORD TO A 3-FAMILY RENTAL UNIT THAT IS JOINTLY OWNED WITH ME AND MY WIFE. THE ADDRESS OF THE RENTAL PROPERTY IS 1320 DEAN ST. BROOKLYN, NY 11216. I DEVOTE APPROXIMATELY 5-10 HOURS PER YEAR TOWARDS MY DUTY AS LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-24
S63 Uniform Securities Agent State Law Examination 2002-03-26
  • S65 Uniform Investment Adviser Law Examination
    2017-04-24
  • S63 Uniform Securities Agent State Law Examination
    2002-03-26
Other Names
  • Jr Lallemand

View on SEC IAPD

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