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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 2005-12-20
  • FL RA
    APPROVED
    Since 2005-12-20

Branch Locations

2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • United States

Disclosures

2 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Miami FL 01/2003 Present
Other Businesses

MY WIFE AND I OWN THE FOLLOWING RESIDENTIAL PROPERTIES THAT WE LEASE: 1. 7910 CAMINO REAL #208 MIAMI, FL 33143 2. 13261 SW 102 TERRACE MIAMI, FL 33186 3. 10301 SW 134 PL MIAMI, FL 33186 THE START DATE WAS APRIL 2006. I DEVOTE ZERO HOURS PER WEEK TO THIS BUSINESS. MY WIFE DEVOTES HER TIME TO THIS BUSINESS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-16
S63 Uniform Securities Agent State Law Examination 2000-12-19
  • S65 Uniform Investment Adviser Law Examination
    2005-12-16
  • S63 Uniform Securities Agent State Law Examination
    2000-12-19

View on SEC IAPD

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