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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-04-30
  • FL RA
    APPROVED
    Since 2019-04-30

Branch Locations

6700 Daniels Parkway Ste 1, Fort Myers, FL 33912 • United States

1800 Second Street Suite 870, Sarasota, FL 34236 • United States

Disclosures

4 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc. Venice FL 07/2016 04/2018
Oppenheimer & Co. Sarasota FL 04/2019 Present
Lakewood Ranch Family Counseling Bradenton FL 05/2018 04/2019
Previous Registrations
Other Businesses

1. SOLE PROPRIETOR - LIFE COACH, HYPNOTHERAPIST - NOT-INVESTMENT RELATED - 5454 LENA RD STE. 106, BRODENTON, FL 34211 - STARTED MAY 2018 - APPROX. 40 HOURS PER MONTH *NONE DURING SECURITIES TRADING HOURS - I COACH/COUNSEL PEOPLE WITH ADDICTIONS, RELATIONSHIP PROBLEMS, PAST TRAUMAS, AND PEOPLE WHO JUST WANT MORE PEACE IN THEIR LIVES. 2. I WILL BE TEACHING A VINYASA YOGA CLASS FOR 1 HOUR (EVENING) EACH WEEK. I WILL BE WORKING FOR: CIRCUSOUL YOGA-4141 S. TAMIAMI TRL SARASOTA, FL 34238. THIS WILL REQUIRE ABOUT 6-8 HOURS OF MY TIME EACH MONTH. NONE DURING TRADING HOURS 3. I WILL BE A DOORDASH DRIVER DELIVERING FOOD TO PEOPLE. IT IS NOT INVESTMNET RELATED. MY HOURS WILL BE EVENING AND WEEKEND ONLY. I PLAN TO WORK ABOUT 15-20 HRS PER WEEK. 4.YOGA INSTRUCTOR-GET BENT YOGA STUDIO-7346 S. TAMIAMI TRL, SARASOTA, FL 34231. NOT INVESTMENT RELATED. START DATE: 9/1/24. 8-9 HRD/MONTH. DUTIES: I TEACH A YIN YOGA CLASS ON SUNDAYS AT 7PM. I ALSO FILL IN FOR OTHER TEACHERS FROM TIME TO TIME. COMPENSATION: $35 PER CLASS-PAID VIA ZELLE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-09
S63 Uniform Securities Agent State Law Examination 2014-12-09
  • S65 Uniform Investment Adviser Law Examination
    2015-03-09
  • S63 Uniform Securities Agent State Law Examination
    2014-12-09
Other Names
  • David Howard Jarrell
  • David Jarrell

View on SEC IAPD

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