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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2018-09-05 |
Branch Locations
Wells Fargo Tower 201 Main Street, Suite 828, Fort Worth, TX 76102 • United States
13455 Noel Road, Two Galleria Tower Suite 1800, Dallas, TX 75240 • 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Southlake | TX | 05/2011 | 09/2018 |
| Oppenheimer & Co. Inc. | Fort Worth | TX | 09/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 2003-10-09 |
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