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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 | 2025-06-18 |
| NC | RA | APPROVED | 2025-06-18 |
Branch Locations
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2018 | 08/2021 |
| Bank Of America, Na | New York | NY | 03/2018 | 08/2021 |
| Wells Fargo Clearing Services, Llc. | Raleigh | NC | 08/2021 | 06/2025 |
| Oppenheimer & Co Inc. | New York | NY | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-01-16 |
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