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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2009-10-29
  • MO RA
    APPROVED
    Since 2009-10-29

Branch Locations

One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States

Chesterfield Ridge Circle 16401 Swingley Ridge Rd Suite 425, Chesterfield, MO 63017 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Chesterfield MO 10/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-29
S63 Uniform Securities Agent State Law Examination 1999-09-13
  • S65 Uniform Investment Adviser Law Examination
    2002-04-29
  • S63 Uniform Securities Agent State Law Examination
    1999-09-13
Other Names
  • Doug Standish

View on SEC IAPD

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