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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2006-09-05 |
Branch Locations
580 California Street Suite 2300, San Francisco, CA 94104 • United States
Walnut Creek, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | San Francisco | CA | 09/2006 | Present |
1. DANNY TRUST - CO-TRUSTEE - OCT 16 START - DAN: ALEX JOSEPH TTEE - U/A/ DTD 10-18-16 - ATTN: DR. DANNY JOSEPH - MEDICAL ARTS BUILDING - 375 E. MAIN STREET. STE 18, BAYSHORE, NY 11706-8418 -- MERRILL LYNCH: 1010 NORTHERN BLVD. STE 490 GREAT NECK, NY 11021 - I SPEND APPROX. 1 HR PER YEAR 2. ALEXANDER JOSEPH TRUST - JOSEPH FAMILY TRUST - BERTA JOSEPH SETTLER - BERTA JOSEPH: DANNY JOSEPH TRUSTEES - TITLE ALEX TRUST - ALEXANDER JOSEPH TTEE - DANNY JOSEPH TRUSTEE U/A/ DTD 10/18/16 BY BERTA JOSEPH -- MERRILL LYNCH: 1010 NORTHERN BLVD. STE 490 GREAT NECK, NY 11021 - I SPEND APPROX. 2 HRS PER YEAR ON THIS 3. MICHELLE TRUST - MICHELLE CARLETON TTEE - ALEXANDER JOSPEH TTEE U/A/ DTD 10/18/16 BY BERTA JOSEPH 125 STURBRIDGE CIR, WAYNE, NJ 07470 -- MERRILL LYNCH: 1010 NORTHERN BLVD. STE 490 GREAT NECK, NY 11021 - 1 HOUR SPENT PER YEAR - CO-TRUSTEE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-08 |
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