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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-04-16 |
| IL | RA | APPROVED | 2009-03-27 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Chicago | IL | 03/2009 | Present |
1. DECEMBER 2016. I WAS NAMED AS THE POWER OF ATTORNEY IN THE CASE OF AN EMERGENCY FOR MY MOTHER'S IRAS. 2. I AM CURRENTLY THE FINANCIAL ADVISOR OF THESE ACCOUNTS.ELLEN B. ROSENBAUM & SIDNEY ROSENBAUM. 3. I AM THE TRUSTEE FOR THE TRUST ACCOUNTS OF MY MOTHER, ELLEN B. ROSENBAUM. 4. I AM THE TRUSTEE FOR THE TRUST ACCOUNTS OF MY FATHER, SIDNEY B. ROSENBAUM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-27 |
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