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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
| NJ | RA | APPROVED | 2012-01-18 |
Branch Locations
777 Third Avenue 34Th Floor, New York, NY 10017 • United States
Bohemia, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | New York | NY | 01/2012 | Present |
1.I HAVE BEEN NAMED & APPOINTED THE EXECUTOR OF THE PALLAVI SHAH ESTATE. TITLE: EXECUTOR OF THE PALLAVI SHAH ESTATE, NON-INVESTMENT RELATED. ADDRESS: 401 1ST AVE, APT 5D, NEW YORK, NY 10010. START DATE: DEC/2017. I WILL BE DEDICATING A FEW HOURS PER WEEK TO THIS TASK. MY DUTIES ENTAIL SETTLING THE ESTATE. 2.AS EXECUTOR I WILL HIRE A CPA TO DO HER FINAL TAXES. I WILL ALSO FOLLOW THE INSTRUCTIONS IN HER WILL AND COLLECT HER ASSETS AND DISPURSE THEM AS INSTRUCTED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-06 |
| S66 | Uniform Combined State Law Examination | 2004-11-24 |
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