Paul Edward Sortal

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2007-11-05

IL RA
APPROVED

Since 2007-11-05

Branch Locations

Arlington Heights, IL • United States

500 West Madison Suite 3800, Chicago, IL 60661 • United States

Wilmette, IL • 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

Organization	City	State	From	To
Real Estate Investment Property (Self &	Chicago	IL	11/1982	Present
Fahnestock & Co. Inc.	Chicago	IL	01/2003	Present
Oppenheimer Asset Management Inc.	New York	NY	04/2003	Present

11/1982 → Present

Real Estate Investment Property (Self &

Chicago, IL
01/2003 → Present

Fahnestock & Co. Inc.

Chicago, IL
04/2003 → Present

Oppenheimer Asset Management Inc.

New York, NY

Previous Registrations

2003-04-15 → 2007-11-12

Oppenheimer Asset Management

New York, NY
1998-08-27 → 2003-01-03

Cibc World Markets Corp.

Chicago, IL

Other Businesses

SCOTT CEMETERY ASSOCIATION: VICE PRESIDENT-A TAX EXEMPT FAMILY AND LOCAL/AREA CEMETERY ASSOCIATION. I SPEND 5-10 HOURS PER YEAR INCLUDING 1 BIENNIAL ASSOCIATION MEETING ON MEMORIAL DAY. I DO NOT HANDLE MONEY FOR THIS ORGANIZATION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-09-16
S63	Uniform Securities Agent State Law Examination	1979-07-19

S65 Uniform Investment Adviser Law Examination

1993-09-16
S63 Uniform Securities Agent State Law Examination

1979-07-19

Other Names

Paul E Sortal

View on SEC IAPD