Phillip Walker Sprague

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2005-04-20

MO RA
APPROVED

Since 2005-04-20

Branch Locations

One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	St Louis	MO	04/2005	Present

04/2005 → Present

Oppenheimer & Co. Inc.

St Louis, MO

Previous Registrations

1997-09-25 → 2005-04-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ladue, MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-25
S63	Uniform Securities Agent State Law Examination	1981-10-29

S65 Uniform Investment Adviser Law Examination

1994-10-25
S63 Uniform Securities Agent State Law Examination

1981-10-29

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews