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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2017-08-04 |
| CT | RA | APPROVED | 2012-11-05 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
North Palm Beach, FL • United States
New Canaan, CT • United States
2 disclosure categories 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 | Stamford | CT | 11/2012 | Present |
1.I AM THE BOARD OF TRUSTEES OF TEMPLE SHALOM. THE ADDRESS IS 259 RICHARDS AVE, NORWALK, CT 06850. I ATTEND 3-4 MEETINGS A YEAR. THE MEETINGS LAST ABOUT 1 1/2 HOURS SO MY TOTAL TIME SPENT IS 6 HOURS A YEAR. I DO NOT OFFER ANY INVESTMENT ADVICE. I AM NOT ON ANY COMMITTEES. 2.I AM THE TRUSTEE FOR MY OWN REVOCABLE TRUST. IT WAS ESTABLISHED YEARS AGO FOR ESTATE PLANNING PURPOSES. 3.I AM THE TRUSTEE OF MY WIFE'S IRREVOCABLE INSURANCE TRUST SINCE 2009
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1979-10-15 |
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