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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2017-12-15 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
Western Springs, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Chicago | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 12/2017 |
| Oppenheimer & Co. Inc. | Chicago | IL | 12/2017 | Present |
LEO HIGH SCHOOL, 7901 SANGAMON STREET, CHICAGO, IL. ON ADVISORY BOARD THAT MEETS 2-4 TIMES PER YEAR. THIS IS NOT INVESTMENT RELATED. BEEN ASSOCIATED WITH THIS BOARD SINCE 1998.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-24 |
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