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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2003-01-03
  • CA RA
    APPROVED
    Since 2003-01-03

Branch Locations

2121 Palomar Airport Road Suite 130, Carlsbad, CA 92011 • United States

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • 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
Fahnestock & Co. Inc. New York NY 01/2003 Present
  • 01/2003 → Present
    Fahnestock & Co. Inc.
    New York, NY
Previous Registrations
  • 1997-07-08 → 2003-01-03
    Cibc World Markets Corp.
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-03
S63 Uniform Securities Agent State Law Examination 1979-07-13
  • S65 Uniform Investment Adviser Law Examination
    1997-01-03
  • S63 Uniform Securities Agent State Law Examination
    1979-07-13

View on SEC IAPD

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