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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2024-11-04 |
| TX | RA | APPROVED | 2019-05-29 |
Branch Locations
711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States
Angel Fire, NM • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Houston | TX | 06/2008 | 05/2019 |
| Morgan Stanley Smith Barney | Houston | TX | 06/2009 | 05/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2019 |
| Oppenheimer & Co Inc. | Houston | TX | 05/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-21 |
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