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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-03-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Securities (Usa) Llc | New York | NY | 01/2025 | 12/2025 |
| Oppenheimer & Co. Inc. | New York | NY | 01/2026 | Present |
| Cowen And Company, Llc. | New York | NY | 03/2008 | 12/2024 |
1.SBH LLC., Investment related; 452 HECTOR AVENUE, METAIRIE, LOUISIANA, 70005. OWNER (THROUGH INHERITANCE) WITH COUSIN AND FATHER AS MANAGERS OF A FARMLAND AND MINERAL RIGHTS IN LOUISIANA & MISSISSIPPI. ZERO HOURS DEVOTED. (PENDING OPCO REVIEW) 2. I AM THE TRUSTEE FOR THE LANCE S. KORMAN 2022 IRREVOCABLE LIFE INSURANCE TRUST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-27 |
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