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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2018-01-12
  • PA RA
    APPROVED
    Since 2018-01-12

Branch Locations

One Pitcairn Place 165 Township Line Road, Suite 2300, Jenkintown, PA 19046 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Jenkintown PA 09/2010 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 09/2010 → Present
    Morgan Stanley Smith Barney
    Jenkintown, PA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-19
S63 Uniform Securities Agent State Law Examination 1981-04-22
  • S65 Uniform Investment Adviser Law Examination
    1992-06-19
  • S63 Uniform Securities Agent State Law Examination
    1981-04-22

View on SEC IAPD

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