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Joseph Michael Caserio

Oppenheimer & Co. Inc.

Birmingham, MI

CRD 1255731

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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

AuthorityCategoryStatusDate
MI RA APPROVED 2020-02-18
  • MI RA
    APPROVED
    Since 2020-02-18

Branch Locations

385 S. Eton Street, Birmingham, MI 48009 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. St. Petersburg FL 09/1999 Present
  • 09/1999 → Present
    Raymond James & Associates, Inc.
    St. Petersburg, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-14
S63 Uniform Securities Agent State Law Examination 1984-05-30
  • S65 Uniform Investment Adviser Law Examination
    2020-02-14
  • S63 Uniform Securities Agent State Law Examination
    1984-05-30

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Nearby Investors

JEFFREY MICHAEL DIEFENTHALER
Kevin Arthur-Whitworth Sheard
JERAMEY JOSEPH LYNCH

Nearby Offices

J.P. MORGAN SECURITIES LLC · Birmingham, MI
WELLS FARGO CLEARING SERVICES, LLC · BIRMINGHAM, MI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BIRMINGHAM, MI

More in Birmingham, MI

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