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Hugo Vincent Bartell

Oppenheimer & Co. Inc.

New York, NY

Charlotte, NC

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-02
NC RA APPROVED 2021-05-27
  • NY RA
    APPROVED
    Since 2021-06-02
  • NC RA
    APPROVED
    Since 2021-05-27

Branch Locations

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

Charlotte, NC • 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. New York NY 05/2013 03/2018
Adhesion Wealth Advisor Solutions Inc. Charlotte NC 04/2018 03/2021
Oppenheimer & Co. Inc. New York NY 04/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-30
S63 Uniform Securities Agent State Law Examination 2013-07-09
  • S65 Uniform Investment Adviser Law Examination
    2018-05-30
  • S63 Uniform Securities Agent State Law Examination
    2013-07-09

View on SEC IAPD

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