Kathleen Carroll King

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2014-09-30

NC RA
APPROVED

Since 2014-09-30

Branch Locations

10 Brook Street Suite 290, Asheville, NC 28803 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Asheville	NC	12/2012	Present

12/2012 → Present

Oppenheimer & Co. Inc.

Asheville, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-09-30

S66 Uniform Combined State Law Examination

2014-09-30

Other Names

Kathleen King
Kathleen C King
Kathleen C Sandlin

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

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