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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 2021-04-07
PR RA APPROVED 2021-03-09
TX RA APPROVED_RES 2017-05-17
NJ RA APPROVED 2009-10-26
  • NY RA
    APPROVED
    Since 2021-04-07
  • PR RA
    APPROVED
    Since 2021-03-09
  • TX RA
    APPROVED_RES
    Since 2017-05-17
  • NJ RA
    APPROVED
    Since 2009-10-26

Branch Locations

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

895 Calletera 693 Suite 104, Dorado, PR 00646 • United States

Dorado, PR • 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. New York NY 05/2008 Present
Other Businesses

1.CML MANAGEMENT INC., NOT INVESTMENT RELATED. REAL ESTATE MANAGEMENT, PRESIDENT, STARTED DECEMBER 2010. ONE HOUR A MONTH DURING NON-BUSINESS HOURS. 2.REAL ESTATE HOLDING COMPANY. ADDRESS IS 76 DR.ALBERTSON NY 11507. DEVOTE 1 HOUR PER MONTH. 3.CO-TRUSTEE OF THE MARISSA LAZOS LIVING TRUST AS OF 3/30/17. THIS IS NOT INVESTMENT RELATED AND I DO NOT DEVOTE ANY TIME TO THIS DURING TRADING HOURS.. 4.JNC MANAGEMENT LLC-50% OWNER BEGINNING IN 2009. 76 BEVERLY DRIVE,ALBERSTON, NY 11507-NON-OPERATING ENTITY FORMED TO HOLD REAL ESTATE 5.1200 LEETON DR LLC OWNS A REAL ESTATE INVESTMENT PROPERTY 6.76 BEVERLY DR LLC OWNS A REAL ESTATE INVESTMENT PROPERTY 7.CHRISTOPHER M LAZOS LIVING TRUST-DATED MARCH 30,2017. CHRISTOPHER M.LAZOS, TRUSTEE-TRUSTEE OF LIVING TRUST-MARCH 30, 2017-0 HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-25
S63 Uniform Securities Agent State Law Examination 2002-08-12
  • S65 Uniform Investment Adviser Law Examination
    2008-04-25
  • S63 Uniform Securities Agent State Law Examination
    2002-08-12

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