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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-07
MN RA APPROVED 2014-04-24
  • NY RA
    APPROVED
    Since 2021-04-07
  • MN RA
    APPROVED
    Since 2014-04-24

Branch Locations

85 Broad Street 25Th Floor,26Th Floor, New York, NY 10004 • United States

100 South 5Th Street Suite 2200, Minneapolis, MN 55402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Minneapolis MN 04/2014 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-11
S63 Uniform Securities Agent State Law Examination 2001-07-06
  • S66 Uniform Combined State Law Examination
    2002-11-11
  • S63 Uniform Securities Agent State Law Examination
    2001-07-06

View on SEC IAPD

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