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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 2021-12-03
TX RA APPROVED_RES 2021-06-10
  • NY RA
    APPROVED
    Since 2021-12-03
  • TX RA
    APPROVED_RES
    Since 2021-06-10

Branch Locations

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

New York, 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
Morgan Stanley Boston MA 05/2016 03/2020
Morgan Stanley Private Bank, National Association New York NY 09/2016 03/2020
Oppenheimer & Co. Inc. Boston MA 07/2020 02/2021
Unemployed Boston MA 03/2020 07/2020
Oppenheimer & Co. Inc. New York NY 02/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-02
S63 Uniform Securities Agent State Law Examination 1998-10-19
  • S66 Uniform Combined State Law Examination
    2021-12-02
  • S63 Uniform Securities Agent State Law Examination
    1998-10-19
Other Names
  • Matt Mcguirk

View on SEC IAPD

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