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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2015-03-03 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Stamford | CT | 12/2014 | Present |
1.POA FOR CONSTANCE GOGGIN (MOTHER). 2 HOURS PER WEEK. ASSOCIATION APPROVED ON 9/27/17. NO OPPENHEIMER ACCOUNTS. MANAGE HOUSEHOLD FIANCES & PAY BILLS. 2.MY BROTHERS AND I ARE TRUSTEES OF THE GOGGIN REALTY TRUST. IT IS NOT INVESTMENT RELATED; IT TAKES 2 HOURS/WEEK OF TIME. 3.THE STANWICH CLUB-888 NORTH STREET, GREENWICH, CT 06831. NOT INVESTMENT RELATED. BOARD OF DIRECTORS FROM 1/24. 10H/MONTH ALL OUTSIDE SECURITIES TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-05 |
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