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Tyson Lee Bauer

Oppenheimer & Co. Inc.

Kansas City, MO

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-10-04
  • MO RA
    APPROVED
    Since 2022-10-04

Branch Locations

4717 Grand Avenue Suite 230, Kansas City, MO 64112 • 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
Oppenheimer & Co Inc Kansas City MO 01/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-03
S63 Uniform Securities Agent State Law Examination 1999-07-01
  • S65 Uniform Investment Adviser Law Examination
    2022-10-03
  • S63 Uniform Securities Agent State Law Examination
    1999-07-01

View on SEC IAPD

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ADELINE ELIZABETH KROPF
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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Kansas City, MO
LPL FINANCIAL LLC · Kansas City, MO
U.S. BANCORP ADVISORS, LLC · Kansas City, MO
EDWARD JONES · KANSAS CITY, MO
DOMINION PORTFOLIO MANAGEMENT, INC. · KANSAS CITY, MO
COPPER FINANCIAL · Kansas City, MO
OSAIC WEALTH, INC. · KANSAS CITY, MO
EDWARD JONES · KANSAS CITY, MO

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