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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-07-22 |
| NJ | RA | APPROVED | 2021-02-09 |
| NY | RA | APPROVED | 2021-02-08 |
Branch Locations
666 3Rd Avenue, New York, NY 10017 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2016 | 10/2016 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 11/2016 | 04/2020 |
| North Valley Homewatch Caregivers | Phoenix | AZ | 09/2013 | 06/2017 |
| Chompies | Scottsdale | AZ | 10/2015 | 03/2020 |
| Jpmorgan Securities, Llc. | New York | NY | 04/2020 | 09/2020 |
| Jpmorgan Chase Bank Na | New York | NY | 04/2020 | 09/2020 |
| Oppenheimer & Co. Inc. | Nnew York | NY | 02/2021 | Present |
| Unemployed | Unemployed | AZ | 09/2020 | 02/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-12 |
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