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Michael Andrew Pfeffer

Oppenheimer & Co. Inc.

Stamford, CT

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-10-31
  • CT RA
    APPROVED
    Since 2016-10-31

Branch Locations

263 Tresser Blvd Suite 500, Stamford, CT 06901 • 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. Inc. Stamford CT 09/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-31
S63 Uniform Securities Agent State Law Examination 1992-09-29
  • S65 Uniform Investment Adviser Law Examination
    2016-10-31
  • S63 Uniform Securities Agent State Law Examination
    1992-09-29

View on SEC IAPD

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