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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2020-12-09 |
| TX | RA | APPROVED_RES | 2016-10-04 |
| CA | RA | APPROVED | 2007-11-05 |
Branch Locations
580 California Street Suite 2300, San Francisco, CA 94104 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | San Francisco | CA | 04/2003 | Present |
1. I AM THE TRUSTEE OF A TRUST. 0 TO 1 HOUR PER MONTH 2. CO-SUCCESSOR TRUSTEE OF A CLOSE FRIENDS FAMILY TRUST. PROVIDE INVESTMENT GUIDANCE. 1-2 HOURS/MONTH 3. I AM THE TRUSTEE OR SUCCESSOR TRUSTEE OF SEVERAL FAMILY RELATED TRUSTS HOURS 0-10/YR 4. TRUSTEE-THE COMPASSIONATE FRIENDS FOUNDATION. NON PROFIT SUPPORTING FAMILIES THAT HAVE LOST LOVED ONES. P.O.BOX 930808,WIXOM, MI 48393. 4-5 HOURS/MONTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-30 |
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