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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-09-01 |
| TX | RA | APPROVED_RES | 2017-05-08 |
| IL | RA | APPROVED | 2016-01-04 |
| MO | RA | APPROVED | 2007-11-06 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
Venice, FL • United States
St Louis, MO • 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 | 04/2003 | Present |
1. UNDER THE TERMS OF MY PARENTS'S TRUST, UPON THEIR DEATH, A SEPARATE TRUST IS TO BE ESTABLISHED FOR MY BROTHER, ROBERT G. STOCKE, TO MANAGE HIS PORTION OF THE INHERITANCE. I AM THE TRUSTEE OF THIS TRUST. 2. CO-TRUSTEE NILSON TRUST 3. I AM THE TRUSTEE OF THE STOCKE FAMILY REV TRUST DTD 12-15-1999 FBO ROBERT G. STOCKE. I BECAME TRUSTEE JULY 2019.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-20 |
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