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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-12-04 |
| PA | RA | APPROVED | 2025-12-03 |
Branch Locations
1818 Market Street Suite 2700, Philadelphia, PA 19103 • United States
222 Haddon Avenue Suite 301, Haddon Township, NJ 08108 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Philadelphia | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Philadelphia | PA | 11/2016 | 11/2017 |
| Janney Montgomery Scott, Llc | Philadelphia | PA | 11/2017 | 12/2025 |
| Oppenheimer & Co. Inc. | Philadelphia | PA | 12/2025 | Present |
MY WIFE AND I JOINTLY OWN A PROPERTY IN VENTNOR, NJ. THE PROPERTY CURRENTLY CONSISTS OF TWO UNITS. WE OCCASSIONALLY RENT THE UPSTAIRS UNIT TO PEOPLE WHO WANT TO SPEND A WEEK OR TWO AT THE SHORE. IT'S NOT AN INVESTMENT RELATED PROPERTY. IT REQUIRES NO TIME AWAY FROM MY ACTIVITIES AT OPPENHEIMER. MY SOLE JOB IS TO PAY THE MORTGAGE. THE RENTAL PORTION OF THE PROPERTY (OR ENTITY) IS NOT PARTIALLY OWNED BY ANYONE ELSE. IM NOT SOLICITING OPPENHEIMER EMPLOYEES TO INVEST OR RENT THE PROPERTY. I HAVE OCCASSIONALLY HAD CLIENTS STAY AT THE APARTMENT-THEY ARE NOT CHARGED FOR STAYING-THEY DO NOT RENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 1985-02-25 |
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