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Brian Keith Dube

Oppenheimer & Co. Inc.

New York, NY

CRD 2288778

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-07
TX RA APPROVED_RES 2016-06-13
NJ RA APPROVED 2006-07-05
  • NY RA
    APPROVED
    Since 2021-04-07
  • TX RA
    APPROVED_RES
    Since 2016-06-13
  • NJ RA
    APPROVED
    Since 2006-07-05

Branch Locations

666 3Rd Avenue, New York, NY 10017 • 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. New York NY 01/2003 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-29
S63 Uniform Securities Agent State Law Examination 1992-12-23
  • S65 Uniform Investment Adviser Law Examination
    2006-06-29
  • S63 Uniform Securities Agent State Law Examination
    1992-12-23
Other Names
  • Brian K Dube

View on SEC IAPD

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