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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-12-09 |
| TX | RA | APPROVED_RES | 2016-08-05 |
| MI | RA | APPROVED | 2015-11-24 |
| OH | RA | APPROVED | 2009-06-30 |
Branch Locations
6700 Daniels Parkway Ste 1, Fort Myers, FL 33912 • United States
1800 Second Street Suite 870, Sarasota, FL 34236 • United States
Bradenton, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Sarasota | FL | 05/2009 | Present |
1. I AM THE TRUSTEE OF MY OWN TRUST. THE TRUST IS FOR THE DEPOSIT OF FUNDS INVESTMENTS IN SECURITIES. 2. CO-TRUSTEE OF THE WILLIAM O'SHAUGHNESSEY LIV TRUST ESTATE. ENTAILS DISTRIBUTION OF ESTATE ASSETS. 1 HOUR PER WEEK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-06 |
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