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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-11-13
NJ RA APPROVED 2009-05-28
FL RA APPROVED 2009-03-27
PA RA APPROVED 2009-03-23
CA RA APPROVED 2009-03-20
  • MD RA
    APPROVED
    Since 2024-11-13
  • NJ RA
    APPROVED
    Since 2009-05-28
  • FL RA
    APPROVED
    Since 2009-03-27
  • PA RA
    APPROVED
    Since 2009-03-23
  • CA RA
    APPROVED
    Since 2009-03-20

Branch Locations

One Pitcairn Place 165 Township Line Road, Suite 2300, Jenkintown, PA 19046 • United States

1525 Valley Center Pkwy Suite 160, Bethlehem, PA 18017 • United States

Doylestown, PA • United States

Berlin, MD • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Bethlehem PA 03/2009 Present
Previous Registrations
  • 2006-04-26 → 2009-04-09
    Anderson & Strudwick, Incorporated
    Bethlehem, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-25
S63 Uniform Securities Agent State Law Examination 1992-01-08
  • S65 Uniform Investment Adviser Law Examination
    2006-04-25
  • S63 Uniform Securities Agent State Law Examination
    1992-01-08

View on SEC IAPD

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