Randall Funk Pearson

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

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	2024-07-11
NY	RA	APPROVED	2021-04-07
CT	RA	APPROVED	2020-10-08
NJ	RA	APPROVED	2011-01-06
TX	RA	APPROVED_RES	2004-10-05

FL RA
APPROVED

Since 2024-07-11
NY RA
APPROVED

Since 2021-04-07
CT RA
APPROVED

Since 2020-10-08
NJ RA
APPROVED

Since 2011-01-06
TX RA
APPROVED_RES

Since 2004-10-05

Branch Locations

Branford, CT • United States

Tampa, FL • United States

4221 West Boy Scout Blvd. Ste 750, Tampa, FL 33607 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Tampa	FL	09/2004	Present

09/2004 → Present

Oppenheimer & Co. Inc.

Tampa, FL

Previous Registrations

2002-09-19 → 2004-10-11

Ubs Financial Services Inc.

Fishkill, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-01-15
S63	Uniform Securities Agent State Law Examination	1983-06-14

S65 Uniform Investment Adviser Law Examination

2011-01-15
S63 Uniform Securities Agent State Law Examination

1983-06-14

View on SEC IAPD