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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2016-11-14 |
Branch Locations
One Pitcairn Place 165 Township Line Road, Suite 2300, Jenkintown, PA 19046 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Philadelphia | PA | 05/2009 | 11/2016 |
| Oppenheimer & Co. Inc. | Jenkintown | PA | 11/2016 | Present |
1.TRUSTEE OF TRUSTS FOR UNCLES; INVESTMENT RELATED; PHILADELPHIA, PA; START DATE = 01/01/1988; ONE HOUR DEVOTED PER MONTH; NONE DURING TRADING HOURS. 2.THIS TRUST BUSINESS IS FOR THE DISPOSITION OF MY MOTHERS ASSETS FROM HER DEATH. AFTER THE ASSETS ARE DISTRIBUTED, THE TRUST WILL BE DONE WITH. I AM DEALING WITH AN ATTORNEY FOR THE DISTRIBUTION OF THE TRUST. I DON'T EXPECT TO SPEND MORE THAN 2 HOURS TOTAL FOR THE REMAINING LIFE OF THE TRUST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1980-06-06 |
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