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David William Collins

Oppenheimer & Co. Inc.

Providence, RI

CRD 2731908

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Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2009-03-30
  • RI RA
    APPROVED
    Since 2009-03-30

Branch Locations

1 Financial Plaza Suite 2110, Providence, RI 02903 • 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. Providence RI 03/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-31
S63 Uniform Securities Agent State Law Examination 1996-05-16
  • S65 Uniform Investment Adviser Law Examination
    1996-05-31
  • S63 Uniform Securities Agent State Law Examination
    1996-05-16
Other Names
  • David W Collins

View on SEC IAPD

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