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Stephen Michael Farrell

Oppenheimer + Close, LLC

New York, NY

CRD 7401902

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Employer firm

Oppenheimer + Close, LLC CRD 15168

$93.0M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Oppenheimer + Close, Llc

119 W 57Th Street Suite 1515, New York, NY 10019-2303 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-12
  • NY RA
    APPROVED
    Since 2021-08-12

Branch Locations

119 W 57Th Street Suite 1515, New York, NY 10019-2303 • 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 + Close Llc New York NY 08/2016 Present
Other Names
  • Stephen Michael Farrell

View on SEC IAPD

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