Cheng Li

Oppenheimer & Co. Inc.

CRD 7281521

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Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-07-30
NY	RA	APPROVED	2023-02-23

NJ RA
APPROVED

Since 2024-07-30
NY RA
APPROVED

Since 2023-02-23

Branch Locations

Glen Rock, NJ • United States

85 Broad Street 25Th Floor,26Th Floor, New York, NY 10004 • 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.	New York	NY	04/2020	Present
Unemployed	New York	NY	03/2020	04/2020
Msq Ventures	New York	NY	09/2018	03/2020
Russo Partners	New York	NY	05/2018	08/2018
Weill Cornell Medicine	New York	NY	09/2011	09/2018

04/2020 → Present

Oppenheimer & Co. Inc.

New York, NY
03/2020 → 04/2020

Unemployed

New York, NY
09/2018 → 03/2020

Msq Ventures

New York, NY
05/2018 → 08/2018

Russo Partners

New York, NY
09/2011 → 09/2018

Weill Cornell Medicine

New York, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2020-10-30

S63 Uniform Securities Agent State Law Examination

2020-10-30

Designations

Chartered Financial Analyst

View on SEC IAPD

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