Andrew Stein

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2025 → 12/2025
  Td Securities (Usa) Llc
  New York, NY
• 01/2026 → Present
  Oppenheimer & Co. Inc.
  New York, NY
• 03/2008 → 12/2024
  Cowen And Company, Llc.
  New York, NY

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-03-19
• S63 Uniform Securities Agent State Law Examination
  1994-09-27

Other Names

• Andrew Stein