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Nancy L Findeisen

Oppenheimer & Co. Inc.

Chicago, IL

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-02-12
  • IL RA
    APPROVED
    Since 2025-02-12

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • 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
B. Riley Wealth Management Memphis TN 05/2013 02/2025
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 02/2025
Oppenheimer & Co. Inc. Chicago IL 02/2025 Present
Previous Registrations
  • 2022-08-25 → 2025-03-04
    B. Riley Wealth Advisors, Inc.
    Chicago, IL
    Chicago, IL
  • 2016-10-19 → 2022-12-31
    B. Riley Wealth Management
    Chicago, IL
    Mentor, OH
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-19
S63 Uniform Securities Agent State Law Examination 2006-10-03
  • S66 Uniform Combined State Law Examination
    2016-10-19
  • S63 Uniform Securities Agent State Law Examination
    2006-10-03

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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