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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 | 2021-04-07 |
| TX | RA | APPROVED_RES | 2017-06-28 |
| NJ | RA | APPROVED | 2010-07-23 |
Branch Locations
777 Third Avenue 34Th Floor, New York, NY 10017 • United States
Whitestone, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co | New York | NY | 05/2009 | Present |
NASD DISPUTE RESOLUTION TITLE: ARBITRATOR NATURE OF BUSINESS: SELF REGULATORY AGENCY START: JUNE 2001 DUTIES: SIT ON ARBITRATION PANELS DECIDING DISPUTES BETWEEN MEMBER FIRMS, CLIENTS AND OR EMPLOYEES. TIME: APPROX 2 TO 4 HOURS A MONTH ADDRESS: NASD DISPUTE RESOLUTION NORTHEAST REGION ONE LIBERTY PLAZA 165 BROADWAY 27TH FLOOR NEW YORK, NY 10006
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-30 |
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