Michael Tartaglia

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

• 06/2009 → 07/2019
  Morgan Stanley Smith Barney Llc
  Short Hills, NJ
• 01/2015 → 07/2019
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 07/2019 → 01/2026
  Wells Fargo Clearing Services Llc
  Short Hills, NJ
• 03/2026 → Present
  Oppenheimer & Co. Inc.
  Florham Park, NJ

Previous Registrations

• 2019-07-18 → 2026-02-23
  Wells Fargo Clearing Services, Llc
  Short Hills, NJ
  Morris Plains, NJ
• 2009-06-01 → 2019-07-22
  Morgan Stanley
  Short Hills, NJ
• 2007-10-26 → 2009-06-01
  Morgan Stanley & Co. Llc
  Short Hills, NJ
• 2003-10-14 → 2007-11-02
  A. G. Edwards & Sons, Inc.
  Short Hills, NJ
  Short Hills, NJ

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-26
• S63 Uniform Securities Agent State Law Examination
  1992-09-11

Designations

• Certified Financial Planner