Luis Alberto Rosario

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-03-05

FL RA
APPROVED

Since 2018-03-05

Branch Locations

100 South East 3Rd Avenue Suite 2100, Fort Lauderdale, FL 33394 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Ft Lauderdale	FL	06/2014	Present

06/2014 → Present

Oppenheimer & Co. Inc.

Ft Lauderdale, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-12-23

S66 Uniform Combined State Law Examination

2017-12-23

Other Names

Luis Alberto Rosario Rivera

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

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