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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 2020-03-31
CA RA APPROVED 2017-02-07
  • TX RA
    APPROVED_RES
    Since 2020-03-31
  • CA RA
    APPROVED
    Since 2017-02-07

Branch Locations

13455 Noel Road, Two Galleria Tower Suite 1800, Dallas, TX 75240 • United States

Plano, TX • 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
Map Strategic Wealth Management Los Angeles CA 04/2012 12/2016
Concert Wealth Management, Inc San Jose CA 04/2012 12/2016
Oppenheimer & Co. Inc. Dallas TX 02/2017 Present
  • 04/2012 → 12/2016
    Map Strategic Wealth Management
    Los Angeles, CA
  • 04/2012 → 12/2016
    Concert Wealth Management, Inc
    San Jose, CA
  • 02/2017 → Present
    Dallas, TX
Previous Registrations
  • 2015-12-02 → 2016-12-27
    Concert Wealth Management
    Los Angeles, CA
    San Jose, CA
Other Businesses

F45 WILLOW BEND-6100 W. PARK BLVD. STE 200, PLANO, TX 75093 - 4 HOURS/WK

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-03-28
S65 Uniform Investment Adviser Law Examination 2015-11-25
  • S63 Uniform Securities Agent State Law Examination
    2017-03-28
  • S65 Uniform Investment Adviser Law Examination
    2015-11-25

View on SEC IAPD

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