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Rajiv Amar Hargunani

Oppenheimer & Co. Inc.

Dallas, TX

CRD 5161107

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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
AL RA APPROVED 2014-11-18
TX RA APPROVED 2014-11-18
  • AL RA
    APPROVED
    Since 2014-11-18
  • TX RA
    APPROVED
    Since 2014-11-18

Branch Locations

13455 Noel Road, Two Galleria Tower Suite 1800, Dallas, TX 75240 • 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. Dallas TX 11/2014 Present
Previous Registrations
  • 2009-01-02 → 2014-11-14
    Raymond James Financial Services Advisors, Inc
    Birmingham, AL
    Birmingham, AL
  • 2008-02-05 → 2009-01-02
    Raymond James Financial Services, Inc.
    Birmingham, AL
  • 2007-04-02 → 2007-10-18
    Morgan Stanley & Co. Llc
    Birmingham, AL
  • 2006-08-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Birmingham, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-10
  • S66 Uniform Combined State Law Examination
    2006-08-10

View on SEC IAPD

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