Steven Anthony Rodriguez

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-01-04
CA	RA	APPROVED	2020-06-17

TX RA
APPROVED

Since 2021-01-04
CA RA
APPROVED

Since 2020-06-17

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Newport Beach	CA	10/2019	Present
Unemployed	San Dimas	CA	08/2019	09/2019
United States Marine Corps	Washington Dc	DC	06/2015	07/2019

10/2019 → Present

Oppenheimer & Co. Inc.

Newport Beach, CA
08/2019 → 09/2019

Unemployed

San Dimas, CA
06/2015 → 07/2019

United States Marine Corps

Washington Dc, DC

Other Businesses

AS OF 9/1/23, I OWN A PROPERTY, 19905 KESWICK LN, HUNTINGTON BEACH, CA THAT I RENT OUT TO A FAMILY. THE TENNANT IS NOT A CLIENT OF OPPENHEIMER & CO. I CURRENTLY SPEND NO MORE THAN 2 HOURS A WEEK SERVICING THIS ACTIVITY, NONE OF WHICH ARE DURING NORMAL BUSINESS HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-06-16

S66 Uniform Combined State Law Examination

2020-06-16

Other Names

Steven A Rodriguez

View on SEC IAPD