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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-26 |
| TX | RA | APPROVED | 2024-01-25 |
Branch Locations
680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States
3 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 |
|---|---|---|---|---|
| D.A. Davidson & Co. | Newport Beach | CA | 11/2013 | 01/2024 |
| Oppenheimer & Co. Inc. | Newport Beach | CA | 01/2024 | Present |
1. JACK DREYFUSS TF DTD 4/7/2008, IS AN ACCT AT OPPENHEIMER &CO. SON'S TRUST. ACTING AS TRUSTEE AS OF 7/10/2018. SPEND MAYBE 1 HR/MONTH 2. I AM TAKING OVER TRUSTEE RESPONSIBILITES FOR MY AUNT - LORI ERLENDSSON REV. LIV TRUST- I HAVE A POA TO PERFORM THESE DUTIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-06 |
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