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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-08-02
MO RA APPROVED 2006-10-13
  • TX RA
    APPROVED_RES
    Since 2018-08-02
  • MO RA
    APPROVED
    Since 2006-10-13

Branch Locations

One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States

Ballwin, MO • 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. St. Louis MO 10/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-27
S63 Uniform Securities Agent State Law Examination 2003-12-31
  • S65 Uniform Investment Adviser Law Examination
    2005-01-27
  • S63 Uniform Securities Agent State Law Examination
    2003-12-31
Other Names
  • Carrie Lynn Willis
  • Carrie Lynn Morgan
  • Carrie Lynn Morgan

View on SEC IAPD

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