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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-27 |
| NY | RA | APPROVED | 2023-11-24 |
Branch Locations
666 3Rd Avenue, New York, NY 10017 • United States
Wappingers Falls, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co Inc | New York | NY | 02/2009 | 04/2017 |
| Morgan Stanley | New York | NY | 04/2017 | 11/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 05/2017 | 11/2023 |
| Oppenheimer & Co. Inc. | New York | NY | 11/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2017 | Present |
NAME OF BUSINESS: PROAMPAC-ADDRESS: 99 ELM ST., WALDEN,NY 12586. BUSINESS IS NOT INVESTMENT RELATED. NATURE OF BUSINESS IS PACKING. POSITION IS ASST. CONVERTER. THE JOB ENTAILS SIMPLY, LOADING, STARTING AND STOPPING THE PACKAGING MACHINES. THE PACKAGING MACHINES ARE MOSTLY AUTOMATIC, AND MY ROLE IS TO MONITOR THEIR OPERATION. MY START DATE WAS JANUARY 6TH, 2025. I DO NOT WORK DURING TRADING BUSINESS HOURS. SHIFTS ARE AFTER NOTMAL BUSINESS HOURS. SHIFTS ARE MONDAY THRU FRIDAY FROM 5PM TO 11PM. APPROXIMATELY 30 HOURS A WEEK, OR 120 HOURS A MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-01 |
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