William Jay Oppenheim

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2008 → Present
  Oppenheimer & Co. Inc.
  Stamford, CT

Previous Registrations

• 2001-01-12 → 2008-05-29
  Deutsche Bank Securities Inc.
  Greenwich, CT
  Greenwich, CT

Other Businesses

*TTEE-LISA J OPPENHEIM(SIS)TR. DTD 4/10/1969*TTEE-PAULA K OPPENHEIM(MOM)GENERATION SKIPPING EXEMPTION TR*TTEE-WJ OPPENHERIM(DAD)ARTICLE III MARTIAL TR*TTEE-LISA J OPPENHEIM(SIS)TR. DTD 12/15/89*TTEE-ANDREW KLINGENSTEIN TR. 11/6/79.DIRECTOR:OPPENHEIM FAMILY FUND*TTEE-WILLIAM J OPPENHEIM 2004 REVOCABLE TR*TTEE-PAULA K OPPENHEIM(MOM)2002 QUALIFIED PERSONAL RESIDENCE TR*TTEE-WILLIAM J OPPENHEIM(DAD)2002 QUALIFIED PERSONAL RESIDENCE TR.CLASS A MEMBER(GEN PART)OPPENHEIM FAMILY LLC*CO-TTEE-DAVID J OPPENHEIM TR. 4/24/96.*TTEE-WILLIAM J OPPENHEIM (FATHER)GENERATION SKIPPING TR*CO-TTEE THOMAS KLINGENSTEIN 2/12/80 TR*TTEE J KLINGENSTEIN TR. 8/26/74.MANAGER TK FAMILY LLC.*TTEE JK WILL TR.,FBO THOMAS KLINGENSTEIN*TTEE EAK WILL TR. FBO THOMAS KLINGENSTEIN*TTEE COHEN KLINGENSTEIN LLC TR. FBO ANDREW KLINGENSTEIN TR. 6/29/61*FRANKLIN MEMORIAL/FARMINGTON HOSPITAL FINANCE COMMITTEE*TTEE FOR 1999 ANNUAL EXCLUSION TR. FOR KIDS(ANNIE/JOCELYN/JAYMIE/WILLIAM/SADIE)*TTEE:THOMAS KLINGENSTEIN TR. 12/21/76-KT76*TTEE:ANDREW KLINGENSTEIN TR. 12/21/76-KA76*TTEE:THOMAS KLINGENSTEIN TR.11/28/55&12/29/55*TTEE:ANDREW KLINGENSTEIN TR. 4/9/58.ARTICLE 3RD MARTIAL TR. FBO PDK 8/19/18*FBO WILLIAM OPPENHEIM:ANDREW KLINGENSTEIN COTTEE*JOHN KLINGENSTEIN TR. 11/7/36*COTTEE;.JOHN KLINGENSTEIN TR. DTD 7/26/38*COTTEE;.JK TR. #1 7/25/74*COTTEE;.JK TR. #2 7/25/74*CO-TTEE*JOHN KLINGENSTEIN TR.K*COTTEE;.JOHN KLINGENSTEIN TR.L*COTTEE;.JOHN KLINGENSTEIN TR.M*COTTEE;.SARAH D KLINGENSTEIN 76 TR.*COTTEE.JK TR. DTD 8/26/74 FBO NANCY K SIMPKINS*COTTEE.JK 8/26/74 TR. FBO SARAH D KLINGENSTEIN*COTTEE.JK TR. 8/26/74 FBO ANDREW KLINGENSTEIN-COTTEE*CO-TTEE NANCY SIMPKINS 2019-JK WILL TR. DTD 12/31/18-COTTEE*SALLY MARTELL 2018 JK WILL TR. DTD 12/31/18-COTTEE*NANCY SIMPKINS 2018 EAK WILL TR. DTD 12/31/18-COTTEE*SALLY MARTELL 2018 EAK WILL TR. DTD 12/31/18-COTTEE*ANDREW KLINGENSTEIN 2018 JK WILL TR. DTD 12/31/18-COTTEE.*ANDREW KLINGENSTEIN 2018 EAK WILL TR. DTD 12/31/18-COTTEE.*COTTEE ARTICLE 3RD MARTIAL TR. FBO PDK DTD 8/19/18-COTTEE.*WILLIAM J OPPENHEIM JR 2019 CHILDREN TR. FBO ANNIE L OPPENHEIM APPROVED 10/30/19.*WILLIAM J OPPENHEIM JR 2019 CHILDREN TR. FBO WILLIAM J OPPENHEIM III APPROVED 10/30/19.*WILLIAM J. OPPENHEIM JR 2019 CHILDREN TR. FBO SADIE R OPPENHEIM APPROVED 10/30/19.*WILLIAM J OPPENHEIM JR 2019 CHILDREN TR. FBO JAYMIE E OPPENHEIM APPROVED 10/30/19.*WILLIAM J OPPENHEIM JR 2019 CHILDREN TR. FBO JOCELYN G OPPENHEIM APPROVED 10/30/19.*COTTEE OF THE JOHN KLINGENSTEIN 2012 GRANDCHILDRENS TR. COTTEE APPROVED 3/16/20.*1KADGHKLM-COTTEE.*2KADJK741-COTTEE.*3KADJKGC-COTTEE.*4KVGGHKLM-COTTEE.*5KVGJK741-COTTEE.*6KVGJKGC-COTTEE*.7KEFGHKLM-COTTEE.*8KEFJK74-COTTEE.*9KEFJKGC-COTTEE 1.*10KTSGHKLM-COTTEE.*11KTSJK741-COTTEE.*12KTSJKGC-COTTEE.*13KARGHKLM-COTTEE.*14KARJK741-COTTEE.*15KARJKGC-COTTEE.*16BDSGHKLM-COTTEE.*17BDSJK741-COTTEE.*18BDSJKGC-COTTEE.*19HASGHKLM-COTTEE.*20HASJK741-COTTEE.*21HASJKGC-COTTEE.*22NDMGHKLM-COTTEE*23NDMJK741-COTTEE*24NOMJKGC-COTTEE*25EJMGHKLM-COTTEE.*26EJMJK741-COTTEE.*27EJMJK741-COTTE. MANAGING MEMBER DWK LLC.*28-26 CEDAR POINT/SALLY K MARTELL 2018 TR. DTD 123118 BILL OPPENHEIM IS A MEMBER WITHOUT AUTHORITY OF THE LULA LANE LLC EST.FOR THE PURPOSE OF BUYING PROPERTY FOR BANJAIM SIMPKINS (BENE OF BDSGHKL).*29-INDEPENDENT TTEE FOR THE TK FAMILY TR.*30-INDEPENDENT TTEE FOR THE TK FAMILY TRUST II*31-MEMBER OF GORE CREEK CORNERS LLC AS TTEE FOR JOHN KLINGENSTEIN (BEN SIMPKINS)*PINEY RIVER LLC,TTEE OF GHKLM TRUST FBO HARRISON SIMPKINS&1974 TRUST #1 FBO HARRISON A SIMPKINS*OLD RIDGE FARM LLC,PASSIVE MEMBER TTEE FOR GHKLM TR FBO ANNA-ROSE KLINGENSTEIN*DEEPWOOD PARTNERS LLC FKA BALDWIN ROAD PARTNERS LLC (PASSIVE MEMBER AS TTEE OF GHKLM TRUST FBA BENJAMIN SIMPKINS)*CO-TTEE LISA SCHULTZ DWK TRUST*CO-TTEE ALAN OPPENHEIM DWK TRUST*CO-TTEE WILLIAM OPPENHEIM JR DWK TRUST*CO-TTEE DAVID OPPENHEIM DWK TRUST

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-07-20
• S63 Uniform Securities Agent State Law Examination
  1991-07-12