Daniel Stuart Heller

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2010-10-14

VA RA
APPROVED

Since 2010-10-14

Branch Locations

The Arrington Building 1802 Bayberry Court - Suite 200, Richmond, VA 23226 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Oppenheimer And Co	Richmond	VA	10/2010	Present

10/2010 → Present

Oppenheimer And Co

Richmond, VA

Previous Registrations

2007-07-04 → 2010-10-11

Wells Fargo Clearing Services, Llc

Richmond, VA

Richmond, VA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-07-03
S63	Uniform Securities Agent State Law Examination	1993-01-21

S65 Uniform Investment Adviser Law Examination

2007-07-03
S63 Uniform Securities Agent State Law Examination

1993-01-21

Other Names

Dan Heller

View on SEC IAPD