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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-10-20
  • TX RA
    APPROVED
    Since 2005-10-20

Branch Locations

711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States

Barton Oaks Plaza Ii 901 S. Mopac Expressway, Suite 210, Austin, TX 78746 • United States

Austin, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co Austin TX 01/2002 Present
  • 01/2002 → Present
    Oppenheimer & Co
    Austin, TX
Other Businesses

AQUA SOLUTIONS, WATER COOLER RENTAL BUSINESS WHICH I OWN. 2 HOURS PER MONTH DEVOTED TO BUSINESS, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-14
S65 Uniform Investment Adviser Law Examination 1998-02-17
S63 Uniform Securities Agent State Law Examination 1992-06-11
  • S66 Uniform Combined State Law Examination
    2009-04-14
  • S65 Uniform Investment Adviser Law Examination
    1998-02-17
  • S63 Uniform Securities Agent State Law Examination
    1992-06-11

View on SEC IAPD

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