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Cal Rains

Oppenheimer & Co. Inc.

Asheville, NC

Asheville, NC

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-05-27
NC RA APPROVED 2009-05-22
  • FL RA
    APPROVED
    Since 2009-05-27
  • NC RA
    APPROVED
    Since 2009-05-22

Branch Locations

10 Brook Street Suite 290, Asheville, NC 28803 • United States

Asheville, NC • 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 & Co Ashville NC 07/2006 Present
  • 07/2006 → Present
    Oppenheimer & Co
    Ashville, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-01
S63 Uniform Securities Agent State Law Examination 1990-08-17
  • S66 Uniform Combined State Law Examination
    2010-02-01
  • S63 Uniform Securities Agent State Law Examination
    1990-08-17
Other Names
  • Cal Ii Rains

View on SEC IAPD

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