Arthur Alexander Caione

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:

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-07
NJ	RA	APPROVED	2016-03-28

NY RA
APPROVED

Since 2021-04-07
NJ RA
APPROVED

Since 2016-03-28

Branch Locations

666 3Rd Avenue, New York, NY 10017 • United States

Scarsdale, NY • 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

Organization	City	State	From	To
Fahnestock & Co. Inc.	New York	NY	01/2003	Present

01/2003 → Present

Fahnestock & Co. Inc.

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-03-23
S65	Uniform Investment Adviser Law Examination	1993-08-05
S63	Uniform Securities Agent State Law Examination	1992-05-05

S66 Uniform Combined State Law Examination

2016-03-23
S65 Uniform Investment Adviser Law Examination

1993-08-05
S63 Uniform Securities Agent State Law Examination

1992-05-05

View on SEC IAPD

Employer firm

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

Reviews