Lance Gordon Rounds

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	2017-08-29
WA	RA	APPROVED	2007-11-13

TX RA
APPROVED_RES

Since 2017-08-29
WA RA
APPROVED

Since 2007-11-13

Branch Locations

Medina, WA • United States

500 108Th Avenue Ne Suite 2100, Bellevue, WA 98004 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Oppenheimer And Co. Inc.	Bellevue	WA	04/2003	Present

04/2003 → Present

Oppenheimer And Co. Inc.

Bellevue, WA

Previous Registrations

2003-04-15 → 2007-11-14

Oppenheimer Asset Management

New York, NY
1999-02-03 → 2003-01-03

Cibc World Markets Corp.

Seattle, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-25
S63	Uniform Securities Agent State Law Examination	1997-05-27

S65 Uniform Investment Adviser Law Examination

1999-01-25
S63 Uniform Securities Agent State Law Examination

1997-05-27