Domenick Pugliese

Oppenheimer & Co. Inc.

CRD 7039355

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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
CT	RA	APPROVED	2025-10-14
TX	RA	APPROVED_RES	2022-02-22
NY	RA	APPROVED	2021-04-07
NJ	RA	APPROVED	2019-01-23

CT RA
APPROVED

Since 2025-10-14
TX RA
APPROVED_RES

Since 2022-02-22
NY RA
APPROVED

Since 2021-04-07
NJ RA
APPROVED

Since 2019-01-23

Branch Locations

Norwalk, CT • United States

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

666 3Rd Avenue, New York, NY 10017 • 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	10/2018	Present
Markets Group	New York	NY	10/2016	10/2018
Mega Burgers	Port Washingon	NY	10/2010	10/2016

10/2018 → Present

Oppenheimer & Co. Inc

New York, NY
10/2016 → 10/2018

Markets Group

New York, NY
10/2010 → 10/2016

Mega Burgers

Port Washingon, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-01-21

S66 Uniform Combined State Law Examination

2019-01-21

View on SEC IAPD

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