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Joseph Benton Steffy

Oppenheimer & Co. Inc.

Fishkill, NY

CRD 2333229

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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 2020-11-18
NJ RA APPROVED 2011-05-23
  • NY RA
    APPROVED
    Since 2021-04-07
  • TX RA
    APPROVED_RES
    Since 2020-11-18
  • NJ RA
    APPROVED
    Since 2011-05-23

Branch Locations

300 Westage Business Center Suite 310, Fishkill, NY 12524 • 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
Dax Realty Corp. Newburgh NY 12/1985 Present
Fahnestock & Co., Inc. Newburgh NY 11/1992 Present
  • 12/1985 → Present
    Dax Realty Corp.
    Newburgh, NY
  • 11/1992 → Present
    Fahnestock & Co., Inc.
    Newburgh, NY
Other Businesses

DAY REALTY CORP., 570 GRAND AVE., NEW BURGH, NY 12550. REAL ESTATE INVESTMENT, PRESIDENT 1985, NO HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-05-10
S63 Uniform Securities Agent State Law Examination 1993-12-13
  • S65 Uniform Investment Adviser Law Examination
    2011-05-10
  • S63 Uniform Securities Agent State Law Examination
    1993-12-13

View on SEC IAPD

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