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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-03-26 |
| NY | RA | APPROVED | 2021-04-07 |
| NJ | RA | APPROVED | 2006-01-10 |
Branch Locations
666 3Rd Avenue, New York, NY 10017 • United States
Armonk, NY • United States
Palm Beach Gardens, 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 |
|---|---|---|---|---|
| Fahnestock & Co. | New York | NY | 01/2002 | Present |
TRUSTE ARTICLE SEVENTH TRUST U/NWILL ELY ZIMMERMAN DEVOTE 1 HOUR OR LESS PER MONTH THE TRUST UWO ROSLYN MILLER - I AM A TRUSTEE 7 BLAIR ROAD, ARMONK, NY START DATE - 10/16/88 MAXIMUM HOURS 2 PER MONTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-24 |
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