William Dean Vanech

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
RI	RA	APPROVED	2015-12-18
TX	RA	APPROVED_RES	2010-09-17

RI RA
APPROVED

Since 2015-12-18
TX RA
APPROVED_RES

Since 2010-09-17

Branch Locations

Providence, RI • United States

1 Financial Plaza Suite 2110, Providence, RI 02903 • United States

Disclosures

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.

Regulatory action No
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	Providence	RI	08/2010	Present

08/2010 → Present

Oppenheimer & Co

Providence, RI

Previous Registrations

2009-06-01 → 2010-08-27

Morgan Stanley

Boston, MA
2008-04-07 → 2009-06-01

Morgan Stanley & Co. Llc

Boston, MA
2002-12-17 → 2005-02-28

Morgan Stanley Dw Inc.

Boston, MA

Boston, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-02-23
S63	Uniform Securities Agent State Law Examination	1983-06-09

S65 Uniform Investment Adviser Law Examination

2011-02-23
S63 Uniform Securities Agent State Law Examination

1983-06-09

View on SEC IAPD