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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2009-03-17 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | St. Louis | MO | 02/2009 | Present |
CO-TRUSTEE OF THE DANIEL P. & CATHERINE D. FINDLEY REVOCABLE LIVING TRUST DTD 8/30/23.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-03 |
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