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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
Branch Locations
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., Inc. | New York | NY | 10/1996 | Present |
1. DIRECTOR/TRUSTEE, RBB FUNDS - MUTUAL FUND GROUP, 615 E. Michigan Street, Milwaukee, WI 53202. START DATE 1989, HOURS PER MONTH 3 TO 4 0 HOURS DURING TRADING , CHAIRPERSON: REGULATORY OVERSIGHT COMMITTEE. 2. TRUSTEE JOHN SABLOWSKY LIFE INSURANCE TRUST 3. 60% PARTNER IN CC OF NY A FAMILY PARTNERSHIP INVESTED IN A SINGLE PIECE OF REAL ESTATE. 4.RBB FUNDS, MULTISERIES MUTUAL FUND TRUST-VICE CHAIRMAN-START DATE 10/22-DEVOTE 8-10 HOURS PER MONTH OUTSIDE OF TRADING HOURS-DUTIES-HEAD OF REGULATORY OVERSITE COMMITTEE-MEMBER FAIR VALUE AND PRODUCT DEVELOPMENT COMMITTEE: ADDRESS-615 EAST MICHIGAN ST. MILWAUKEE, WI 53202
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1985-03-28 |
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