Karen Lynn Nichols

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2004 → Present
  Oppenheimer & Co. Inc.
  New York, NY

Other Businesses

1. N-FAM LLC -I AM A MEMBER OF THIS FAMILY ENTITY. 801 BRICKELL AVE, SUITE 900, MIAMI , FLORIDA 33123. PRIVATE ENTITY. SPEND ONE HOUR PER MONTH. NON INVESTMENT RELATED. 2. HU-FLA, NON INVESTMENT RELATED, 801 BRICKELL AVENUE, SUITE 900, MIAMI, FL 33131, REAL ESTATE MANAGEMENT, I AM A SHAREHOLDER, DEVOTE ONE HOUR/MONTH AND NOT DURING BUSINESS HOURS. PASSIVE SHARE HOLDERS, THIS BEGAN 6/1/16, BEGAN DUE TO AN INHERITANCE. 3. TRUSTEE OF THE BETTY NICHOLS TRUST 4.TRUSTEE FOR THE KAREN NICHOLS REVOCABLE TRUST;THIS IS NOT INVESTMENT RELATED. HELD AT MY RESIDENCE. START DATE: 9/8/21, WILL DEVOTE APPROXIMATELY ONE HOUR/YEAR NOT DURING BUSINESS HOURS. DUTIES WILL FALL IN LINE AS TRUSTEE.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-09-14
• S63 Uniform Securities Agent State Law Examination
  1992-01-20