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Casey Smith

Oppenheimer & Co. Inc.

Warrington, PA

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-01-03
PA RA APPROVED 2013-01-18
  • TX RA
    APPROVED_RES
    Since 2017-01-03
  • PA RA
    APPROVED
    Since 2013-01-18

Branch Locations

2700 Kelly Road Suite 120, Warrington, PA 18976 • 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
Oppenheimer & Co Inc Warrington PA 05/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-01-17
S63 Uniform Securities Agent State Law Examination 2008-11-21
  • S65 Uniform Investment Adviser Law Examination
    2013-01-17
  • S63 Uniform Securities Agent State Law Examination
    2008-11-21
Designations
Other Names
  • Casey Giddy
  • Casey Lynn Giddy
  • Casey Giddy

View on SEC IAPD

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