Roc William Willis

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 11/2024
  Wedbush Securities Inc
  Woodland Hills, CA
• 11/2024 → Present
  Oppenheimer & Co. Inc.
  Lake Oswego, OR

Previous Registrations

• 2011-02-17 → 2024-12-15
  Wedbush Securities Inc.
  Newport Beach, CA
  Woodland Hills, CA
  Los Angeles, CA
  Newport Beach, CA
  La Jolla, CA
  San Diego, CA
  Solana Beach, CA
  Boise, ID
  Traverse City, MI
  Portland, OR
  Lake Oswego, OR
  Seattle, WA
  Sacramento, CA
  Los Angeles, CA
• 2008-01-01 → 2011-01-31
  Wells Fargo Clearing Services, Llc
  La Jolla, CA
  La Jolla, CA
• 2004-05-07 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  La Jolla, CA
  St. Louis, MO
• 1998-08-24 → 2004-05-20
  Morgan Stanley Dw Inc.
  Palm Desert, CA

Other Businesses

1-I AM THE TRUSTEE FOR THE MARSUBIAN FAMILY TRUST AND EXECUTOR FOR THE ESTATE. WE ARE IN THE PROCESS OF LIQUIDATING THE ASSETS OF THE TRUST, FILING TAX RETURNS AND THE DISTRIBUTING THE ASSETS TO THE BENEFICIARIES AND DISSOLVING THE TRUST. I CURRENTLY SPEND APPROXIMATELY 5 HOURS PER WEEK ON THIS. 2-I AM ONE OF TWO TRUSTEES RESPONSIBLE FOR THE ADMINISTRATION AND SETTLEMENT OF MY MOTHER'S (KAY MARSUBIAN) AND STEPFATHER'S ESTATE. RICH MARSUBIAN PASSED IN 2024. KAY MARSUBIAN PASSED IN 2025. THE MARSUBIAN SURVIVOR TRUST COMMENCED WITH THE PASSING OF KAY MARSUBIAN IN APRIL 2025. THIS TAKES 1-2 HOURS PER WEEK AND WILL BE DISBURSED INT HE NEXT 6-12 MONTHS. 3. I AM ONE OF TWO TRUSTEES RESPONSIBLE FOR THE ADMINISTRATION AND SETTLEMENT OF MY MOTHER'S (KAY MARSUBIAN) AND STEPFATHER'S ESTATE. RICH MARSUBIAN PASSED IN 2024. KAY MARSUBIAN PASSED IN 2025. THE MARSUBIAN CREDIT SHELTER TRUST COMMENCED WHEN RICH MARSUBIAN PASSED IN JULY 2024. THIS TAKES 1-2 HOURS PER WEEK AND WILL BE DISBURSED INT HE NEXT 6-12 MONTHS

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-19
• S63 Uniform Securities Agent State Law Examination
  1983-03-28

Other Names

• Roc William Fish