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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-09-20 |
| KS | RA | APPROVED | 2004-07-02 |
Branch Locations
Mission Farms 10601 Mission Road 3Rd Flr, Leawood, KS 66206 • United States
First National Tower 534 South Kansas Avenue, Topeka, KS 66603 • 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., Inc. | Topeka | KS | 03/1990 | Present |
I AM THE AUTHOR OF A BOOK THAT IS NOT AN INVESTMENT BOOK. OPPENHEIMER IS NOT MENTIONED IN THE BOOK. THE BOOK IS A LOVE STORY. I STARTED THE BOOK IN 2018. I WORKED 15 TO 20 HOURS A WEEK AT NIGHT ON THE WEEKENDS AT MY RESIDENCE, NOT DURING MARKET HOURS. I AM AT THE OFFICE SIXZ DAYS A WEEK AND I TAKE NO VACATIONS. JOHN M. LEGG - AUTHOR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1980-08-01 |
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