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Tuyun Brian Ra

Oppenheimer & Co. Inc.

Los Angeles, CA

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-06-15
  • CA RA
    APPROVED
    Since 2007-06-15

Branch Locations

10880 Wilshire Boulevard 23Rd Floor, Los Angeles, CA 90024 • 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. Los Angeles CA 06/2007 Present
Previous Registrations
  • 2003-02-07 → 2007-06-28
    Rbc Capital Markets, Llc
    Beverly Hills, CA
    Beverly Hills, CA
  • 2001-11-30 → 2003-02-13
    Prudential Equity Group, Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-27
  • S66 Uniform Combined State Law Examination
    2001-04-27
Other Names
  • Tuyun Brain Ra

View on SEC IAPD

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