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Hee Yang

Oppenheimer & Co. Inc.

Chicago, IL

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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 2024-10-25
IL RA APPROVED 2024-10-24
TX RA APPROVED 2024-10-24
  • FL RA
    APPROVED
    Since 2024-10-25
  • IL RA
    APPROVED
    Since 2024-10-24
  • TX RA
    APPROVED
    Since 2024-10-24

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • 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
B. Riley Wealth Management Chicago IL 05/2004 10/2024
B. Riley Wealth Advisors, Inc. Chicago IL 07/2022 10/2024
Oppenheimer & Co. Inc. Chicago IL 10/2024 Present
Previous Registrations
  • 2022-08-09 → 2024-11-13
    B. Riley Wealth Advisors, Inc.
    Chicago, IL
  • 2004-05-04 → 2022-12-31
    B. Riley Wealth Management
    Chicago, IL
    Chicago, IL
  • 1999-06-28 → 2004-05-06
    Howe Barnes Capital Management, Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-10
S63 Uniform Securities Agent State Law Examination 1991-07-23
  • S65 Uniform Investment Adviser Law Examination
    1992-12-10
  • S63 Uniform Securities Agent State Law Examination
    1991-07-23
Other Names
  • Toni Yang
  • Hee Sook Yang

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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