Lawrence Robert Yerkees

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2006-03-20
NJ	RA	APPROVED	2006-03-03
PA	RA	APPROVED	2005-07-29

MA RA
APPROVED

Since 2006-03-20
NJ RA
APPROVED

Since 2006-03-03
PA RA
APPROVED

Since 2005-07-29

Branch Locations

2700 Kelly Road Suite 120, Warrington, PA 18976 • United States

Philadelphia, PA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Doylestown	PA	01/1992	Present

01/1992 → Present

Oppenheimer & Co. Inc.

Doylestown, PA

Other Businesses

TRUSTEE OF THE TRUST FITLED LAWRENCE YERKEES TTEE U/A 8/18/03 FBO. STATE DATE 8/18/03. LESS THAN ONE HOUR A MONTH IS DEVOTED TO THIS ACTIVITY. LESS THAN ONE HOUR A MONTH DURING TRADING HOURS. DUTIES INCLUDE PAYING TRUST INCOME TO BENEFICIARIES AS PER TRUST AND MONITORING INVESTMENTS. I OWN A BUSINESS NAME, IT HAS NEVER DONE BUSINESS. IT HAS NEVER HAD ANY REVENUE OR EARNINGS. IT IS COMPLETELY INACTIVE. IT IS SIMPLY A NAME.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-03-01
S63	Uniform Securities Agent State Law Examination	1984-09-14

S65 Uniform Investment Adviser Law Examination

2006-03-01
S63 Uniform Securities Agent State Law Examination

1984-09-14