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David Whitman Fleming

Oppenheimer & Co. Inc.

New York, NY

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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 2026-04-22
CA RA APPROVED 2022-05-04
  • NY RA
    APPROVED
    Since 2026-04-22
  • CA RA
    APPROVED
    Since 2022-05-04

Branch Locations

85 Broad Street 22Nd Floor, New York, NY 10004 • 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
Stifel, Nicolaus & Company, Incorporated St. Louis MO 12/2015 05/2022
Oppenheimer & Co. Inc. New York NY 05/2022 Present
Previous Registrations
  • 2015-12-04 → 2022-05-06
    Stifel, Nicolaus & Company, Incorporated
    St. Louis, MO
    San Francisco, CA
  • 2013-08-13 → 2015-12-04
    Barclays Capital Inc.
    San Francisco, CA
  • 2007-05-21 → 2013-09-04
    Deutsche Bank Securities Inc.
    San Francisco, CA
    Greenwich, CT
  • 2003-01-17 → 2003-10-28
    Credit Suisse Securities (Usa) Llc
    New York, NY
  • 2002-07-25 → 2003-01-17
    Pershing Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1997-11-15
  • S66 Uniform Combined State Law Examination
    1997-11-15

View on SEC IAPD

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