Susan Regina Mitchell

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2012-04-27

CO RA
APPROVED

Since 2012-04-27

Branch Locations

3200 Cherry Creek South Drive Suite 310, Denver, CO 80209 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Denver	CO	04/2012	Present

04/2012 → Present

Oppenheimer & Co. Inc.

Denver, CO

Previous Registrations

2002-11-18 → 2012-03-26

Rbc Capital Markets, Llc

Denver, CO

Denver, CO
1999-01-01 → 2002-12-03

Piper Sandler & Co.

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-23
S63	Uniform Securities Agent State Law Examination	1982-08-02

S65 Uniform Investment Adviser Law Examination

1999-02-23
S63 Uniform Securities Agent State Law Examination

1982-08-02

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews