Walter Alan Cooper

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	2012-03-28

RI RA
APPROVED

Since 2012-03-28

Branch Locations

Jamestown, 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 Inc	Providnce	RI	03/2012	Present

03/2012 → Present

Oppenheimer & Co Inc

Providnce, RI

Previous Registrations

1993-01-01 → 2012-04-04

Ubs Financial Services Inc.

Providence, RI

Providence, RI

Other Businesses

JANET COOPER TRUST - INVESTMENT RELATED - 2 BOOM ST. JAMESTOWN, RI 02835, REVOCABLE TRUST, CO-TRUSTEE JANET COOPER TRUST - START DATE 9/2/2003, 2 HOURS PER MONTH DEVOTED; 2 HOURS DURING TRADING HOURS; PERFORMING DUTIES AS TRUSTEE PER THE TRUST DOCUMENT, EX: TAXES, INVESTING FOR THE BENEFIT OF THE TRUSTEES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-03-28
S63	Uniform Securities Agent State Law Examination	1983-08-03

S65 Uniform Investment Adviser Law Examination

1994-03-28
S63 Uniform Securities Agent State Law Examination

1983-08-03

Other Names

Walter Cooper

View on SEC IAPD