Aaron Dale Chamberlin

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-04-01

CA RA
APPROVED

Since 2021-04-01

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States

2121 Palomar Airport Road Suite 130, Carlsbad, CA 92011 • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Carlsbad	CA	07/2009	03/2021
Oppenheimer & Co., Inc	Carlsbad	CA	03/2021	Present

07/2009 → 03/2021

Stifel Nicolaus & Co Inc

Carlsbad, CA
03/2021 → Present

Oppenheimer & Co., Inc

Carlsbad, CA

Previous Registrations

2009-07-28 → 2021-04-01

Stifel, Nicolaus & Company, Incorporated

San Diego, CA

Carlsbad, CA
2008-01-01 → 2009-07-28

Wells Fargo Clearing Services, Llc

La Jolla, CA
1997-07-08 → 2008-01-01

A. G. Edwards & Sons, Inc.

La Jolla, CA

La Jolla, CA

St. Louis, MO

Other Businesses

I AM THE TRUSTEE OF THE JOHN ARNOLD FAMILY TRUST. I AM A FAMILY FRIEND AND HAVE BEEN TRUSTEE SINCE FEBRUARY 1998. THIS IS INVESTMENT RELATED AND I PROVIDE BASIC TRUST DUTIES OF APPROXIMATELY 1 HOUR A MONTH FROM MY RESIDENCE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-10-22
S63	Uniform Securities Agent State Law Examination	1994-03-25

S65 Uniform Investment Adviser Law Examination

2009-10-22
S63 Uniform Securities Agent State Law Examination

1994-03-25

View on SEC IAPD