Stephen James Connaughton

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
TX	RA	APPROVED_RES	2017-05-17
RI	RA	APPROVED	2006-02-23

TX RA
APPROVED_RES

Since 2017-05-17
RI RA
APPROVED

Since 2006-02-23

Branch Locations

1 Financial Plaza Suite 2110, Providence, RI 02903 • 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
Oppenheimer & Co.	New York	NY	06/2004	Present

06/2004 → Present

Oppenheimer & Co.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-02-22
S63	Uniform Securities Agent State Law Examination	1993-03-26

S65 Uniform Investment Adviser Law Examination

2006-02-22
S63 Uniform Securities Agent State Law Examination

1993-03-26

Other Names

Stephen James Connaughton

View on SEC IAPD