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Oppenheimer Asset Management CRD 105559
$21.3B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-06 |
| CA | RA | APPROVED | 2026-01-05 |
Branch Locations
505 Main Street, Fort Worth, TX 76102 • United States
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2016-02-09 |
| TX | RA | APPROVED | 2011-02-01 |
Branch Locations
13455 Noel Road, Two Galleria Tower Suite 1800, Dallas, TX 75240 • United States
Wells Fargo Tower 201 Main Street, Suite 828, Fort Worth, TX 76102 • United States
Payson, AZ • 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 Asset Management Inc. | New York | NY | 04/2003 | Present |
| Oppenheimer & Co. Inc. | Fort Worth | TX | 11/2001 | Present |
1. OWN MINERAL RIGHTS UNDER PERSONAL RESIDENCE. 810 HOUSTON ST., FORT WORTH, TX 2. STUFFMANN FAMILY TRUST; CO-TRUSTEE; ADDRESS IS PERSONAL RESIDENCE; TRUST HOLDS INVESTMENT ASSETS, RESIDENCES, ETC. AS PART OF ESTATE PLANNING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1981-10-06 |
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