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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2017-01-24 |
Branch Locations
255 State Street 5Th Floor, Boston, MA 02109 • United States
Medfield, MA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Boston | MA | 11/2005 | Present |
ROSIE'S PLACE 889 HARRISON AVE, BOSTON, MA 02118.NOT AN INVESTMENT RELATED BUSINESS. A NON-PROFIT WOMAN'S SHELTER. COMMITTEE MEMBER THAT MONITORS INVESTMENT MANAGERS COMMITTEE, 1983, FOUR HORS PER MONTH. 0 HRS DURING TRADING. MONITOR MONEY MANAGERS THAT INVESTS ROSIE'S FUNDS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1983-03-03 |
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