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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-07
NJ RA APPROVED 2018-08-24
CT RA APPROVED 2018-08-23
  • NY RA
    APPROVED
    Since 2021-04-07
  • NJ RA
    APPROVED
    Since 2018-08-24
  • CT RA
    APPROVED
    Since 2018-08-23

Branch Locations

263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States

360 Hamilton Avenue 9Th Floor, White Plains, NY 10601 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc White Plains NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc White Plains NY 11/2016 05/2018
Oppenheimer & Co. Inc White Plains NY 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-22
S63 Uniform Securities Agent State Law Examination 1986-02-05
  • S65 Uniform Investment Adviser Law Examination
    2018-08-22
  • S63 Uniform Securities Agent State Law Examination
    1986-02-05

View on SEC IAPD

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