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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-26 |
Branch Locations
2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/1999 | 06/2023 |
| Merrill A Bank Of America Co. | Miami | FL | 06/2011 | 06/2023 |
| Oppenheimer & Co. Inc. | Coral Gables | FL | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-28 |
| S66 | Uniform Combined State Law Examination | 2000-11-01 |
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