Scott Shulman

Current Employers

Oppenheimer & Co. Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-11-30
TX	RA	APPROVED_RES	2016-11-01
DC	RA	APPROVED	2011-11-22

FL RA
APPROVED

Since 2018-11-30
TX RA
APPROVED_RES

Since 2016-11-01
DC RA
APPROVED

Since 2011-11-22

Branch Locations

1801 K Street Nw Suite 750, Washington, DC 20006 • United States

Juno Beach, FL • United States

11780 U.S. Highway 1 Suite N101, North Palm Beach, FL 33408 • United States

Disclosures

3 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Washington	DC	08/2011	Present

08/2011 → Present

Oppenheimer & Co. Inc.

Washington, DC

Previous Registrations

2009-03-13 → 2011-08-23

Rbc Capital Markets, Llc

Rockville, MD
1997-01-01 → 2009-03-13

Ferris, Baker Watts, Llc

Baltimore, MD

Rockville, MD

Rockville, MD

Other Businesses

SCOTT SHULMAN IS THE TRUSTEE OF DAUGHTERS TRUST, LOHREN ALYSSA SHULMAN REV. TRUST SINCE 5/19/2011.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-15
S63	Uniform Securities Agent State Law Examination	1983-05-17

S65 Uniform Investment Adviser Law Examination

1999-12-15
S63 Uniform Securities Agent State Law Examination

1983-05-17

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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