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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2007-11-13 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | Seattle | WA | 01/2003 | Present |
| Oppenheimer Asset Management Inc. | New York | NY | 04/2003 | Present |
MY OUTSIDE BUSINESS ACTIVITY IS A REVOCABLE TRUST I HAVE WITH MY SPOUSE, THE TAKACS REVOCABLE TRUST. IT IS NOT SECURITIES INVESTMENT RELATED. WE CONTRIBUTED OUR SUNVALLEY IDAHO TOWNHOUSE TO THE TRUST. MY SPOUSE AND I ARE CO-TRUSTEES. OUR TRUST AGREEMENT WAS MADE EFFECTIVE 2/1/2017. AS CO-TRUSTEE I DEVOTE LESS THAN 3 HOURS A YEAR ON ADMINISTRATION OF THIS TRUST. IT REQUIRES NO TIME OF ME DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-17 |
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